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LH

Louis Hsu

GRAYSCALE SECURITIES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 7321596
LH

Professional summary

Louis Hsu, CFP® is a registered financial professional currently at GRAYSCALE SECURITIES, LLC located in Stamford, Connecticut.

Louis is registered as a RR (Registered Representative) and started their career in finance in 2020. Louis has worked at 3 firms and has passed the Series 63 and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Louis Hsu'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®
CFP®

Certified Financial Planner

Experience

Current

November 19, 2021 - Present

GRAYSCALE SECURITIES, LLC

Office #1: 290 Harbor Drive 4th Floor, Stamford, CT 06902
BD
CRD#: 305907
Stamford, CT
Past

October 18, 2021 - October 3, 2022

GENESIS GLOBAL TRADING, INC

BD
CRD#: 136962
STAMFORD, CT
Past

February 1, 2021 - September 20, 2021

SVB INVESTMENT SERVICES INC.

BD
CRD#: 168116
Menlo Park, CA
Past

December 14, 2020 - September 20, 2021

SVB INVESTMENT SERVICES INC.

RIA
CRD#: 168116
Menlo Park, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/2/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2021
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GRAYSCALE SECURITIES, LLC
GRAYSCALE SECURITIES, LLC

CRD#: 305907 / SEC#: , 8-70437

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
290 Harbor Drive 4th Floor, Stamford, CT 06902
Mailing Address
290 Harbor Drive 4th Floor, Stamford, CT 06902
Phone number
(203) 998-6150
Established
Delaware since 06/14/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRAYSCALE OPERATING, LLCSOLE MEMBER OF GRAYSCALE SECURITIES, LLC
MASCI, KATHRYN CODYFINOP / PFO6755238
PALASZ, FELICA CORNELIAPOO7830001
PALMER, JORDAN WYNNCHIEF EXECUTIVE OFFICER7279088
ROBERTS, ALLISON BRADYCHIEF COMPLIANCE OFFICER5198017
SALM, CRAIG IANCHIEF LEGAL OFFICER6936921

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.

Company Information

GRAYSCALE SECURITIES, LLC

CRD#: 305907Stamford, CT 06902

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