Shelly Chu
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.
Shelly Chu, who also goes by Shelly Tam Chu, Shelly Tam, Shelly Tam-chu, was a registered financial professional .
Shelly is a previously registered financial professional and started their career in finance in 2001. Shelly had worked at 5 firms and has passed the SIE, Series 99, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - November 30, 2016
VICTORY CAPITAL SERVICES, INC.
March 28, 2014 - October 3, 2016
RS FUNDS DISTRIBUTOR LLC
October 11, 2012 - April 18, 2014
GUARDIAN INVESTOR SERVICES LLC
January 1, 2004 - March 9, 2004
THOMAS WEISEL PARTNERS LLC
March 26, 2001 - December 31, 2002
ROBERTSON STEPHENS, INC.
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
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory 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.
