Shirley L. 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.
Shirley Lee-chin Chu, who also goes by Shirley L Goh, was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 2000. Shirley had worked at 7 firms and has passed the Series 66, Series 63, SIE, 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 15, 2015 - June 30, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 20, 2015 - October 14, 2015
CETERA INVESTMENT ADVISERS LLC
January 20, 2015 - October 14, 2015
CETERA INVESTMENT SERVICES LLC
November 13, 2012 - May 14, 2014
MORGAN STANLEY
November 13, 2012 - May 14, 2014
MORGAN STANLEY
January 3, 2011 - October 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 26, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 2, 2003 - June 7, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 20, 2001 - June 7, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 21, 2000 - July 24, 2001
BANC OF AMERICA INVESTMENT SERVICES, 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
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
