Stephanie M. Hu
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.
Stephanie Ming Man Hu, who also goes by Mingman Hu, Stephanie Hu, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1996. Stephanie had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 27 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
November 15, 2000 - February 8, 2001
CAMDEN SECURITIES, INC.
May 1, 1998 - September 1, 2000
PROVIDENTIAL SECURITIES, INC.
May 21, 1997 - July 7, 1998
WESTERN INTERNATIONAL SECURITIES, INC.
June 17, 1996 - June 5, 1997
INTERFIRST CAPITAL CORPORATION
April 25, 1996 - June 5, 1996
E-W INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CAMDEN SECURITIES, INC.
CRD#: 18305 / SEC#: , 8-36436
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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