Vicky W. Du

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

New York, NY 10036

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CRD#: 4713290

Professional summary

Vicky Wanting Du, who also goes by VIcky W Du, Vicky Du, Du Wanting, is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.

Vicky is registered as a RR (Registered Representative) and started their career in finance in 2003. Vicky has worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vicky W Du | Vicky Du | Du Wanting

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vicky Wanting Du's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 2019 - Present

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Office #1: 1095 Avenue Of The Americas, New York, NY 10036

CRD#: 130847

New York, NY

Past

June 11, 2013 - March 24, 2017

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847

NEW YORK, NY

Past

August 25, 2009 - February 20, 2013

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 26, 2007 - August 24, 2009

GE CAPITAL MARKETS, INC.

CRD#: 13349

STAMFORD, CT

Past

November 12, 2004 - March 13, 2007

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

Past

January 6, 2004 - November 10, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ST. LOUIS, MO

Past

December 10, 2003 - November 10, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/20/2019)

New York
(2/20/2019)

Texas
(2/20/2019)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/16/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/9/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847 / SEC#: , 8-66397

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1095 Avenue Of The Americas, New York, NY 10036

Mailing Address

1095 Avenue Of The Americas, New York, NY 10036

Phone number

(212) 667-0700

Established

Delaware since 05/17/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STANDARD CHARTERED HOLDINGS INC.	OWNER
DEFILIPPO, MANDY J	PRESIDENT AND CHIEF EXECUTIVE OFFICER	7184614
HAUSCHILD, AUGUST DANIEL	ANTI MONEY LAUNDERING COMPLIANCE OFFICER	4287421
JONES, PAUL FAULKNER	CHIEF RISK OFFICER	7630280
NIELSEN, PETER	FINANCIAL AND OPERATIONS PRINCIPAL	1072259
PAULIC, JACINTA	CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS	5823367

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.

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Advisor Monitoring

Firm Stability Insights

Vicky W. Du

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vicky Wanting Du's CRS (Customer Relationship Summary).

Certified licenses

Experience

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

GOLDMAN SACHS & CO. LLC

GE CAPITAL MARKETS, INC.

SCOTTRADE, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2004

SIE

Date: 3/24/2017

Series 31

Date: 1/16/2004

Series 7

Date: 12/9/2003

Series 24

Date: 8/23/2025

FINRA

Current Firm

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

TRUST BUT VERIFY

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