Timothy Y. Hsu
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.
Timothy Y Hsu was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2009. Timothy had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2020 - June 1, 2026
OCM INVESTMENTS, LLC
May 23, 2013 - September 4, 2020
BLACKROCK FUND ADVISORS
May 22, 2013 - September 4, 2020
BLACKROCK INVESTMENTS, LLC
September 7, 2012 - May 23, 2013
UBS FINANCIAL SERVICES INC.
October 6, 2009 - May 23, 2013
UBS FINANCIAL SERVICES INC.
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
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
Contact information
FINRA licenses (52 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.
