Carolyn H. Sheu
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.
Carolyn Her Chi Sheu, CFP®, who also goes by Carolyn H. Sheu, Carolyn Her-chi Sheu, Carolyn Sheu, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1997. Carolyn had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
February 16, 2023 - August 18, 2025
BEACON POINTE ADVISORS, LLC
October 5, 2020 - January 12, 2023
J.P. MORGAN SECURITIES LLC
October 5, 2020 - January 12, 2023
J.P. MORGAN SECURITIES LLC
November 14, 2016 - September 15, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
November 14, 2016 - September 15, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
July 27, 2015 - August 22, 2016
MORGAN STANLEY
July 24, 2015 - August 22, 2016
MORGAN STANLEY
January 3, 2003 - July 9, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2003 - July 9, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 1999 - November 22, 2002
CHARLES SCHWAB & CO., INC.
June 29, 1999 - November 22, 2002
CHARLES SCHWAB & CO., INC.
December 15, 1997 - January 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 1997 - October 8, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 1997 - December 31, 1998
WMA SECURITIES, INC.
Primary Firm SEC Registration
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,870 |
| AUM (Assets Under Management) | $ 39,839,757,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/26/2024 | ||
| 11/28/2023 |
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.
