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Detailed Report
CHRIS HU
CRD#: 7191618
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 398-#102 W. EL CAMINO REAL
SUNNYVALE, CA 94087
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 398-#102 W. EL CAMINO REAL
SUNNYVALE, CA 94087
Registration History
201920202021202220232024202520262 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2022 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - 2022 (2 years)
License(s)

State Registrations

B
Arizona 11/13/2023
B
Nevada 11/13/2023
B
California 7/12/2022
B
New Jersey 11/13/2023
IA
California 7/28/2022
B
New York 11/13/2023
B
Colorado 11/13/2023
B
North Carolina 11/13/2023
B
District of Columbia 11/15/2024
B
Ohio 11/14/2023
B
Florida 11/13/2023
B
Oklahoma 11/13/2023
B
Georgia 11/13/2023
B
Oregon 11/13/2023
B
Hawaii 11/13/2023
B
Pennsylvania 11/13/2023
B
Illinois 11/13/2023
B
Rhode Island 11/13/2023
B
Indiana 11/13/2023
B
South Carolina 11/13/2023
B
Louisiana 11/13/2023
B
Tennessee 11/13/2023
B
Maryland 11/13/2023
B
Texas 11/13/2023
B
Massachusetts 11/13/2023
IA
Texas 11/15/2023
B
Michigan 11/13/2023
B
Utah 11/13/2023
B
Minnesota 11/13/2023
B
Virginia 11/13/2023
B
Missouri 11/13/2023
B
Washington 11/13/2023
B
Montana 11/13/2023
B
Wisconsin 11/13/2023

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
398-#102 W. EL CAMINO REAL, SUNNYVALE, CA 94087
Registered with this firm since 7/28/2022
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
398-#102 W. EL CAMINO REAL, SUNNYVALE, CA 94087
SAN JOSE, CA
Registered with this firm since 7/12/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/21/2020 - 05/31/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PALO ALTO, CA
B
 12/18/2019 - 05/31/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PALO ALTO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.