Wendy H. Hsieh
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.
Wendy Hsueh-yung Hsieh, who also goes by Hsueh-yung Hsieh, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2008. Wendy had worked at 5 firms and has passed the Series 66, 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
March 19, 2018 - May 30, 2018
PARSONEX SECURITIES, INC.
January 11, 2018 - May 30, 2018
PARSONEX ADVISORY SERVICES, INC.
December 8, 2014 - January 27, 2016
CETERA INVESTMENT ADVISERS LLC
December 8, 2014 - January 27, 2016
CETERA INVESTMENT SERVICES LLC
February 20, 2009 - September 4, 2014
U.S. BANCORP ADVISORS, LLC
November 14, 2008 - September 4, 2014
U.S. BANCORP ADVISORS, 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
PARSONEX SECURITIES, INC.
CRD#: 144412 / SEC#: , 8-67652
Contact information
FINRA licenses (50 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.
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