Xue Hu
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.
Xue Hu, who also goes by Cindy Hu, was a registered financial professional .
Xue is a previously registered financial professional and started their career in finance in 2019. Xue had worked at 1 firm and has passed the Series 3 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2019 - January 7, 2022
NISA INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
NISA INVESTMENT ADVISORS, LLC
CRD#: 107313 / SEC#: 801-45153
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
NISA INVESTMENT ADVISORS, LLC
CRD#: 107313 / SEC#: 801-45153
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 315,286,272,054 |
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.
