Chiayien Ku
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.
Chiayien Ku, who also goes by Alice Ku, Chiayien Ku, was a registered financial professional .
Chiayien is a previously registered financial professional and started their career in finance in 1999. Chiayien had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
January 8, 2018 - December 31, 2022
AEON CAPITAL INC
March 9, 2017 - June 23, 2017
OSPREY PARTNERS LLC
April 14, 2014 - April 1, 2015
CABOT LODGE SECURITIES LLC
October 12, 2000 - June 21, 2005
ROTHSCHILD & CO US INC.
July 14, 1999 - August 30, 1999
NATIONAL CLEARING CORP.
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
AEON CAPITAL INC
CRD#: 164004 / SEC#: , 8-69080
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
