Rai J. Hsieh
Professional summary
Rai Ja Hsieh, who also goes by Grace Hsieh, is a registered financial professional currently at WORLD INVESTMENTS, LLC located in Warren, New Jersey.
Rai is registered as a RR (Registered Representative) and started their career in finance in 1996. Rai has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rai Ja Hsieh's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2012 - Present
WORLD INVESTMENTS, LLC
April 25, 1996 - June 15, 2012
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2013)
(10/10/2012)
(7/17/2012)
Exams
FINRA
Current Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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