San Chi Shiu
Professional summary
San Chi Shiu, who also goes by San-chi Shiu, Fiona Shiu, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in Weehawken, New Jersey and UBS SECURITIES LLC located in New York, New York.
San Chi is registered as a RR (Registered Representative) and started their career in finance in 2012. San Chi has worked at 5 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view San Chi Shiu's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2024 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 1200 Harbor Boulevard, Weehawken, NJ 07086February 2, 2024 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010July 7, 2021 - December 18, 2023
CREDIT SUISSE SECURITIES (USA) LLC
March 6, 2013 - July 8, 2021
CLSA AMERICAS, LLC
May 29, 2012 - June 10, 2013
CREDIT AGRICOLE SECURITIES (USA) 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
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
Red Flags
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