Kai Chiu
Professional summary
Kai Chiu, who also goes by Kai Chu Chiu, Ken Chiu, is a registered financial professional currently at VP DISTRIBUTORS LLC located in Hartford, Connecticut.
Kai is registered as a RR (Registered Representative) and started their career in finance in 1997. Kai has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kai Chiu's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2013 - Present
VP DISTRIBUTORS LLC
Office #1: One Financial Plaza, Hartford, CT 06103March 11, 2004 - June 9, 2009
VOYA FINANCIAL PARTNERS, LLC
June 28, 2002 - February 23, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 14, 1998 - June 24, 2002
TD AMERITRADE, INC.
November 18, 1997 - March 26, 1998
U.S. SECURITIES & FUTURES CORP.
July 11, 1997 - November 20, 1997
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
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
FINRA
Current Firm
VP DISTRIBUTORS LLC
CRD#: 3036 / SEC#: , 8-14100
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTUS PARTNERS, INC | SOLE MEMBER | |
| BACHRACH, IAN | SENIOR MANAGING DIRECTOR, MARKETING | 2797509 |
| BICKS, MICHAEL WAYNE | MANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE | 5450963 |
| DANOS, CHRISTOPHER ROBERT | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2716625 |
| FRANCO, THOMAS RICHARD | SENIOR MANAGING DIRECTOR, RETAIL SALES | 2651546 |
| GRISWOLD, HEIDI CHRISTINE | VICE PRESIDENT, FUND SERVICES | 2304631 |
| HANLEY, DAVID GEORGE JR | SENIOR VICE PRESIDENT AND TREASURER | 5455435 |
| KATZ, DAVID JAY | SENIOR MANAGING DIRECTOR, INSTITUTIONAL | 2813039 |
| MACCONE, JOSEPH EDMUND | SENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION | 4273677 |
| MANDINACH, BARRY MITCHELL | EXECUTIVE VICE PRESIDENT | 1234185 |
| MAROSITS, TIFFANY PAIGE | VICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY | 6507868 |
| PERLMAN, DIANA MARIE | CHIEF COMPLIANCE OFFICER | 2555302 |
| PURKALITIS, ANDRA CYNTHIA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 3070864 |
Disclosures
| Regulatory Event | 1 |
| Bond | 3 |
Red Flags
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