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Chia Yun Chien

Hilltop Securities Inc.

Dallas, TX

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Current Employers
Hilltop Securities Inc.

717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2023-01-04
CA RA APPROVED 2022-11-07
TX RA APPROVED 2022-01-31
  • OK RA
    APPROVED
    Since 2023-01-04
  • CA RA
    APPROVED
    Since 2022-11-07
  • TX RA
    APPROVED
    Since 2022-01-31

Branch Locations

717 N. Harwood Street Suite 3400, Dallas, TX 75201 • 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
Elite Finance Management Dallas TX 10/2016 03/2018
Unemployed/Homemaking Grapevine TX 03/2018 11/2018
Hilltop Securities Inc Dallas TX 11/2018 Present
  • 10/2016 → 03/2018
    Elite Finance Management
    Dallas, TX
  • 03/2018 → 11/2018
    Unemployed/Homemaking
    Grapevine, TX
  • 11/2018 → Present
    Hilltop Securities Inc
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-29
S63 Uniform Securities Agent State Law Examination 2020-05-20
  • S65 Uniform Investment Adviser Law Examination
    2022-01-29
  • S63 Uniform Securities Agent State Law Examination
    2020-05-20
Other Names
  • Chia-Yun Chien
  • Amber Chien

View on SEC IAPD

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