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Hsueh Wen Chu

CRD# 5352579·Registered 2008 - 2014
Previously Registered: Being a previously registered professional could mean that Hsueh Wen 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.

Professional Summary

Hsueh Wen Chu, who also goes by Hsueh-wen Denny Chu, Hsueh-wen (denny) Chu, was a registered financial advisor. Hsueh Wen was a previously registered financial professional and started their career in finance 2008 - 2014. Hsueh Wen had worked at 4 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hsueh-Wen Denny Chu, Hsueh-Wen (denny) Chu

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

18 years in the financial services industry

Current & Past Employments

ARCHPOINT PARTNERS LLC·CRD# 164115
BD
San Francisco, CA
August 8, 2013 - March 3, 2014
CITIZENS JMP SECURITIES, LLC·CRD# 22208
BD
New York, NY
May 10, 2010 - May 8, 2013
BROADOAK PARTNERS, LLC·CRD# 143527
BD
Bethesda, MD
November 4, 2009 - April 30, 2010
CANACCORD GENUITY LLC·CRD# 1020
BD
New York, NY
November 3, 2008 - November 17, 2008

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Current Firm

AP
ARCHPOINT PARTNERS LLC

ARCHPOINT PARTNERS LLC

CRD#: 164115 / SEC#: 8-69088
BD
Terminated by SEC on 10/13/2014

Contact Information

Established

Delaware since 10/14/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ARCHPOINT CORPORATIONMANAGING MEMBER—
BLANCO, SUSAN NICOLECCO/PRINCIPAL—
COOPER, JOHN A.PRINCIPAL—
WILLIAMS, JAMES HOUSTONCFO/FINOP1482414

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2010About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 2008About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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