Sandy H. Chau
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.
Sandy Hue Chau, who also goes by Sandy Hue Chan, Sandy Chan, was a registered financial professional .
Sandy is a previously registered financial professional and started their career in finance in 1999. Sandy had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2014 - November 9, 2023
PARADIGM FINANCIAL GROUP LLC
April 13, 2011 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
April 8, 2011 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
February 17, 2010 - May 13, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - May 13, 2010
CITIGROUP GLOBAL MARKETS INC.
September 22, 1999 - May 29, 2007
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
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Exams
Current Firm
PARADIGM FINANCIAL GROUP LLC
CRD#: 172916 / SEC#:
Contact information
Red Flags
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