Michelle C. Hui
Professional summary
Michelle Chao Hui, who also goes by Michelle Chen, Michelle C Hui, Michelle Hui, is a registered financial professional currently at FIRST CITIZENS CAPITAL SECURITIES, LLC located in New York, New York.
Michelle is registered as a RR (Registered Representative) and started their career in finance in 1995. Michelle has worked at 5 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michelle Chao Hui's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2022 - Present
FIRST CITIZENS CAPITAL SECURITIES, LLC
Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036September 22, 2004 - August 10, 2022
SAFRA SECURITIES LLC
September 21, 2000 - August 14, 2004
ALPHA SECURITIES CORP.
May 30, 1997 - July 1, 1997
COLEMAN & COMPANY SECURITIES, INC.
October 17, 1995 - July 23, 1996
LAIDLAW GLOBAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIRST CITIZENS CAPITAL SECURITIES, LLC
CRD#: 41504 / SEC#: , 8-49466
Contact information
FINRA licenses (49 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
