Fanniter C. Mui
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.
Fanniter Chinghing Mui, who also goes by Fanniter Siu, was a registered financial professional .
Fanniter is a previously registered financial professional and started their career in finance in 2000. Fanniter had worked at 7 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
December 10, 2015 - December 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2015 - December 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2014 - January 8, 2016
CETERA INVESTMENT ADVISERS LLC
March 12, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 12, 2013 - January 8, 2016
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - February 6, 2013
LPL FINANCIAL LLC
October 11, 2011 - February 6, 2013
LPL FINANCIAL LLC
July 15, 2005 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 15, 2005 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
March 19, 2003 - July 26, 2005
IFMG SECURITIES, INC.
August 7, 2002 - July 26, 2005
IFMG SECURITIES, INC.
September 7, 2000 - February 20, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
