Vicki 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.
Vicki Hsu, who also goes by VIcki L Hsu, Vicki Liangchuan Hsu, Vicki Liangchuan Shih, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 2011. Vicki had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2017 - February 3, 2017
E-W INVESTMENTS, INC.
January 24, 2014 - February 13, 2015
HSBC SECURITIES (USA) INC.
December 14, 2011 - April 11, 2012
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
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.
