Conrad K. Hsieh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Conrad Konghwei Hsieh, who also goes by Conrad Hsieh, Konghwei Conrad Hsieh, was a registered financial professional .
Conrad is a previously registered financial professional and started their career in finance in 1994. Conrad had worked at 5 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2012 - November 12, 2013
KEY WEST INVESTMENTS, LLC
May 2, 2012 - November 12, 2013
KEY WEST INVESTMENTS, LLC
January 5, 2005 - April 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2005 - April 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 2001 - November 15, 2004
CHARLES SCHWAB & CO., INC.
September 15, 2000 - November 15, 2004
CHARLES SCHWAB & CO., INC.
October 3, 1994 - December 9, 1999
ACUMENT SECURITIES, INC.
August 3, 1994 - November 7, 1994
FASCO INTERNATIONAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KEY WEST INVESTMENTS, LLC
CRD#: 149418 / SEC#: , 8-68166
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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