Hsueh Wen Chu
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.
Hsueh Wen Chu, who also goes by Hsueh-wen Denny Chu, Hsueh-wen (denny) Chu, was a registered financial professional .
Hsueh Wen is a previously registered financial professional and started their career in finance in 2008. Hsueh Wen had worked at 4 firms and has passed the Series 63 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
August 8, 2013 - March 3, 2014
ARCHPOINT PARTNERS LLC
May 10, 2010 - May 8, 2013
CITIZENS JMP SECURITIES, LLC
November 4, 2009 - April 30, 2010
BROADOAK PARTNERS, LLC
November 3, 2008 - November 17, 2008
CANACCORD GENUITY 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
Current Firm
ARCHPOINT PARTNERS LLC
CRD#: 164115 / SEC#: , 8-69088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARCHPOINT CORPORATION | MANAGING MEMBER | |
| BLANCO, SUSAN NICOLE | CCO/PRINCIPAL | |
| COOPER, JOHN A. | PRINCIPAL | |
| WILLIAMS, JAMES HOUSTON | CFO/FINOP | 1482414 |
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.
