Ming Chiu
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.
Ming Chiu, who also goes by Ming Qiu, was a registered financial professional .
Ming is a previously registered financial professional and started their career in finance in 2007. Ming had worked at 2 firms and has passed the Series 63, Series 66, Series 79TO, Series 6TO, Series 7TO, Series 3, Series 31, 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
September 15, 2023 - February 16, 2026
GT SECURITIES, INC.
December 11, 2007 - August 24, 2009
J.P. MORGAN SECURITIES LLC
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
Series 79TO
Date: 10/21/2023
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 9/15/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 9/15/2023
General Securities Representative ExaminationCurrent Firm
GT SECURITIES, INC.
CRD#: 116012 / SEC#: , 8-53527
Contact information
FINRA licenses (51 States and Territories)
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.
