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Charles Chiu

Golden Lake LLC

Parsippany, NJ

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Current Employers
Golden Lake Llc

Parsippany, NJ • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APP_PEND_IARCE 2026-01-01
  • NJ RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

Parsippany, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Golden Lake Llc Parsippany NJ 01/2013 Present
Tfs Securities, Inc Lincroft NJ 07/2015 12/2020
  • 01/2013 → Present
    Golden Lake Llc
    Parsippany, NJ
  • 07/2015 → 12/2020
    Tfs Securities, Inc
    Lincroft, NJ
Previous Registrations
  • 2015-07-30 → 2020-12-08
    World Investments, Llc
    Parsippany, NJ
    Lincroft, NJ
    Lincroft, NJ
  • 2013-11-27 → 2015-06-05
    Avantax Advisory Services
    Parsippany, NJ
  • 2002-08-08 → 2013-12-02
    Wells Fargo Clearing Services, Llc
    Morristown, NJ
    Florham Park, NJ
    Morristown, NJ
    Morristown, NJ
Other Businesses

None

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-24
S63 Uniform Securities Agent State Law Examination 1989-02-24
  • S65 Uniform Investment Adviser Law Examination
    2006-05-24
  • S63 Uniform Securities Agent State Law Examination
    1989-02-24
Other Names
  • Charles Chiu

View on SEC IAPD

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