Sunny Chiou
Sunny Chiou is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in New York, NY, with 21 years of industry experience. Sunny operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
875 3rd Ave Fl 23, New York, NY, 10022
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Sunny may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. Sunny is also the Finance Director for Project by Project Incorporated, a non-profit organization, spending minimal time on this role.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Soleil Securities CorporationBroker
Raymond James & Associates, INC.Broker
Fulcrum Global Partners LLCBroker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.