Chi Tu Chow
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.
Chi Tu Chow, who also goes by Chi Tu M Chow, was a registered financial professional .
Chi Tu is a previously registered financial professional and started their career in finance in 2004. Chi Tu had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87 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
October 3, 2014 - February 14, 2018
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
March 25, 2010 - August 21, 2014
MACQUARIE CAPITAL (USA) INC.
March 7, 2008 - August 31, 2009
TRISTONE CAPITAL CO.
July 24, 2007 - April 1, 2008
TRISTONE CAPITAL (U.S.A.) INC.
December 13, 2006 - May 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 2004 - May 25, 2007
ML PETRIE PARKMAN CO., 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
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
CRD#: 129772 / SEC#: , 8-66251
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
