Individual Firm
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DAVID CHENG-WEI HSU
CRD#: 4140214
IA
B
NEWDAYCRD#: 174758 Puyallup, WA
0
Disclosures
21
Years of Experience
View By:
State Registrations
IA
Washington 11/28/2023
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/01/2021 - 02/23/2023 | DELRAY BEACH, FL | |
B | 04/28/2017 - 10/04/2021 | Seattle, WA | |
IA | 09/08/2016 - 03/02/2017 | SAN FRANCISCO, CA | |
B | 06/04/2012 - 09/06/2016 | MOUNTAIN VIEW, CA | |
B | 03/15/2016 - 05/30/2016 | SAN FRANCISCO, CA | |
B | 12/07/2005 - 06/13/2012 | SAN FRANCISCO, CA | |
B | 10/06/2011 - 05/17/2012 | SAN FRANCISCO, CA | |
B | 12/07/2005 - 05/11/2012 | NEW YORK, NY | |
B | 10/01/2000 - 05/30/2003 | ST. LOUIS, MO | |
B | 04/26/2000 - 10/01/2000 | CHARLOTTE, NC |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.