Maxine J. Chou
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.
Maxine J Chou, who also goes by Maxine J Shun, was a registered financial professional .
Maxine is a previously registered financial professional and started their career in finance in 1977. Maxine had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 24, Series 27, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2003 - January 11, 2024
SEI INVESTMENTS DISTRIBUTION CO.
June 16, 2003 - October 8, 2003
FIRSTRADE SECURITIES INC.
May 21, 2002 - August 14, 2002
GLOBAL DIRECT FINANCIAL SERVICES LLC
June 28, 2001 - April 10, 2002
GLOBAL DIRECT FINANCIAL SERVICES LLC
March 13, 1990 - March 31, 2000
TAI FOOK SECURITIES (U.S.) INC.
January 6, 1977 - October 30, 1989
SBCI SWISS BANK CORPORATION INVESTMENT BANKING 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 40
Date: 12/30/1976
Registered Principal ExaminationF04
Date: 11/15/1976
Financial Principal ExaminationCurrent Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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