• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SHEILA SUI LAI CHAU
SHEILA S CHAU
CRD#: 1299779
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 2540 HUNTINGTON DR
SUITE 105
SAN MARINO, CA 91108
Registration History
199019952000200520102015202020252 FIRMS2015 - Present (9 years)BAXA ADVISORS, LLC (CRD# 6627)1986 - 2015 (28 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1986 - 2000 (13 years)IAAXA ADVISORS, LLC (CRD# 6627)2000 - 2015 (14 years)
Disclosure(s)
View By:
12/15/2021
Customer Dispute
Denied
7/23/2013
Customer Dispute
Denied
2/8/2011
Customer Dispute
Denied
License(s)

State Registrations

B
California 3/5/2015

IA
California 3/24/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MML INVESTORS SERVICES, LLC (CRD#:10409)
2540 HUNTINGTON DR SUITE 105, SAN MARINO, CA 91108
Registered with this firm since 3/24/2015

B
MML INVESTORS SERVICES, LLC (CRD#:10409)
2540 HUNTINGTON DR SUITE 105, SAN MARINO, CA 91108
Registered with this firm since 3/5/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/09/2000 - 02/03/2015 AXA ADVISORS, LLC (CRD#:6627) SAN MARINO, CA
B
12/03/1986 - 02/03/2015 AXA ADVISORS, LLC (CRD#:6627) SAN MARINO, CA
B
12/03/1986 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.