Ellen Chiu

WESTFULLER ADVISORS

New York, NY 10036

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CRD#: 6077306

Professional summary

Ellen Chiu is a registered financial advisor currently at WESTFULLER ADVISORS, LLC located in New York, New York.

Ellen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Ellen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Ellen Chiu'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 8, 2021 - Present

WESTFULLER ADVISORS, LLC

Office #1: 1185 Avenue Of The Americas Suite 319, New York, NY 10036

RIA

CRD#: 155054

New York, NY

Past

December 21, 2016 - July 20, 2021

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

December 6, 2016 - July 20, 2021

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WESTFULLER ADVISORS, LLC

ATLANTICA WEALTH, LLC | WESTFULLER ADVISORS, LLC | GENESIS LEGACY ADVISORS LLC

CRD#: 155054 / SEC#: 801-111864

RIA

Registered Investment Advisory firm - (10/15/2017 Approved)

New Jersey

Registered Investment Advisory firm - (1/31/2014 Terminated)

New York

Registered Investment Advisory firm - (8/24/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/8/2021)

IAR

New York
(11/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/20/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/2016

General Securities Representative Examination

Current Firm

WESTFULLER ADVISORS, LLC

ATLANTICA WEALTH, LLC | WESTFULLER ADVISORS, LLC | GENESIS LEGACY ADVISORS LLC

CRD#: 155054 / SEC#: 801-111864

RIA

Registered Investment Advisory firm - (10/15/2017 Approved)

New Jersey

Registered Investment Advisory firm - (1/31/2014 Terminated)

New York

Registered Investment Advisory firm - (8/24/2021 Terminated)

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Contact information

Main Address

1185 Avenue Of The Americas Suite 319, New York, NY 10036

Mailing Address

Phone number

(212) 542-5851

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTFULLER ADVISORS, LLC PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 2,135,363,056

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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Ellen Chiu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellen Chiu's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTFULLER ADVISORS, LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

Primary Firm SEC Registration

WESTFULLER ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2016

SIE

Date: 10/1/2018

Series 7

Date: 12/6/2016

Current Firm

WESTFULLER ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTFULLER ADVISORS, LLC

TRUST BUT VERIFY

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