Ellen Chiu

Investment Adviser Representative at WESTFULLER ADVISORS, LLC

NEW YORK, NYCRD #6077306Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

9 yrs

States Registered

2 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 2 states

CaliforniaNew York

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 12/20/2016

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 12/6/2016

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Account minimum: $3,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

WESTFULLER Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NEUBERGER BERMAN BD LLC

12/6/2016 – 7/20/2021NEW YORK, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ellen Chiu has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.