Michael Chu

EVERCORE GROUP L.L.C.

New York, NY 10055

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CRD#: 5365103

Professional summary

Michael Chu, who also goes by Michael Huai-tun Chu, is a registered financial professional currently at EVERCORE GROUP L.L.C. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Huai-Tun Chu

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 Michael Chu's CRS (Customer Relationship Summary).

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

November 26, 2021 - Present

EVERCORE GROUP L.L.C.

Office #1: 55 East 52nd Street, New York, NY 10055

CRD#: 42405

New York, NY

Past

December 18, 2017 - November 19, 2021

BTIG, LLC

CRD#: 122225

New York, NY

Past

November 3, 2016 - December 26, 2017

PEOPLE'S SECURITIES, INC.

RIA

CRD#: 13704

New York, NY

Past

November 2, 2016 - December 26, 2017

PEOPLE'S SECURITIES, INC.

CRD#: 13704

New York, NY

Past

July 13, 2016 - November 23, 2016

GERSTEIN FISHER

RIA

CRD#: 118551

NEW YORK, NY

Past

July 8, 2016 - November 23, 2016

GFA SECURITIES, LLC

CRD#: 128568

NEW YORK, NY

Past

August 31, 2015 - May 13, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

NEW YORK, NY

Past

December 26, 2014 - May 13, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 14, 2011 - December 9, 2014

BAY CREST PARTNERS, LLC

CRD#: 39944

NEW YORK, 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

Alabama
(11/26/2021)

Alaska
(11/26/2021)

Arizona
(11/26/2021)

Arkansas
(11/26/2021)

California
(11/26/2021)

Colorado
(11/26/2021)

Connecticut
(11/26/2021)

District of Columbia
(11/26/2021)

Florida
(11/26/2021)

Georgia
(11/26/2021)

Illinois
(11/26/2021)

Indiana
(11/26/2021)

Kansas
(11/26/2021)

Kentucky
(11/26/2021)

Louisiana
(11/26/2021)

Maryland
(11/26/2021)

Massachusetts
(11/26/2021)

Michigan
(11/26/2021)

Missouri
(11/26/2021)

Montana
(11/26/2021)

New Hampshire
(11/26/2021)

New Jersey
(11/26/2021)

New York
(11/26/2021)

North Carolina
(11/26/2021)

Ohio
(11/26/2021)

Oklahoma
(11/26/2021)

Oregon
(11/26/2021)

Pennsylvania
(11/26/2021)

Puerto Rico
(11/26/2021)

Rhode Island
(11/26/2021)

South Carolina
(1/24/2024)

Texas
(11/26/2021)

Utah
(11/26/2021)

Virginia
(11/26/2021)

Washington
(11/26/2021)

West Virginia
(11/26/2021)

Wisconsin
(11/26/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/28/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/23/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 6/13/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/4/2018

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

EVERCORE GROUP L.L.C.

EVERCORE GROUP INC. | EVERCORE PARTNERS INC. | EVERCORE ISI | EVERCORE INC. | EVERCORE GROUP L.L.C.

CRD#: 42405 / SEC#: , 8-49830

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

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Contact information

Main Address

55 East 52nd Street, New York, NY 10055

Mailing Address

55 East 52nd Street, New York, NY 10055

Phone number

(212) 857-3100

Established

Delaware since 04/19/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EVERCORE BD INVESTCO L.L.C.	MANAGING MEMBER
BRYSON, NANCY CLAIRE	CHIEF OPERATING OFFICER	1978165
CROWE, JOHN CHRISTOPHER	CHIEF COMPLIANCE OFFICER	2494752
FUND, LISA K	PRINCIPAL OPERATIONS OFFICER	5008055
LALONDE, TIMOTHY GILBERT	CHIEF FINANCIAL OFFICER	2270483
MARTINEZ, MICHAEL	CHIEF OPERATING OFFICER - EVERCORE ISI	5100611
MASOTTI, KENNETH ALFRED	CHIEF LEGAL OFFICER	4436810
MYERS, JENNA	PRINCIPAL OPERATIONS OFFICER	4582020
PALIOTTA, MICHAEL JOSEPH	CHIEF EXECUTIVE OFFICER OF EVERCORE ISI	2079036
PENSA, PAUL	CHIEF FINANCIAL OFFICER/FINOP	2119683
WEINBERG, JOHN	CHIEF EXECUTIVE OFFICER	2061177

Disclosures

Regulatory Event

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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Michael Chu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Chu's CRS (Customer Relationship Summary).

Certified licenses

Experience

BTIG, LLC

PEOPLE'S SECURITIES, INC.

PEOPLE'S SECURITIES, INC.

GERSTEIN FISHER

GFA SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

BAY CREST PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2015

Series 63

Date: 7/28/2011

SIE

Date: 10/1/2018

Series 87

Date: 8/23/2011

Series 7

Date: 6/13/2011

Series 4

Date: 4/4/2018

FINRA

Investors' Exchange LLC

MEMX LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

EVERCORE GROUP L.L.C.

Contact information

FINRA licenses (37 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EVERCORE GROUP L.L.C.

TRUST BUT VERIFY

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