Chi H. Ly
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.
Chi Hoang Ly was a registered financial professional .
Chi is a previously registered financial professional and started their career in finance in 1994. Chi had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2012 - May 28, 2013
BRITE ADVISORS USA, INC.
June 12, 2000 - July 27, 2000
J.C. BRADFORD & CO.
August 3, 1995 - September 20, 2000
UBS FINANCIAL SERVICES INC.
October 19, 1994 - July 14, 1995
CHATFIELD DEAN & CO., 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
Current Firm
BRITE ADVISORS USA, INC.
CRD#: 155775 / SEC#: 801-78041
Contact information
Regulatory assets under management
| Total Number of Accounts | 755 |
| AUM (Assets Under Management) | $ 468,148,435 |
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.
