Jade Szu

Compliance Analyst

(650) 988-5715 | jszu@fsnweb.com

Jade serves as a Compliance Analyst for our hybrid RIA, Strategic Wealth Advisors Group. Assisting the Chief Compliance Officer, she provides support on a variety of specialized projects, including surveillance reporting and multi-custodial platform operations. Prior to joining The Network in 2021, Jade’s industry experience includes operations, customer service, branch supervision and compliance at multiple broker dealers. Jade also has held various roles within LPL Financial, including serving as a member of The Network’s dedicated 360 team.

Jade resides in Southern California with her husband and two sons. In her spare time, she enjoys yoga, hiking, practicing spirituality, spending quality time with loved ones, and eating Asian cuisine.

Education

  • B.A. Accounting, University of Houston
  • M.A. Counseling, University of San Diego

Professional Qualifications

  • Securities registrations Series 7 and 24 held through LPL Financial. Series 66 held through Strategic Wealth Advisors Group, and LPL Financial.
  • FINRA Series 7: General Securities Representative Examination
  • FINRA Series 24: General Securities Principal Qualification Examination
  • FINRA Series 66: NASAA Uniform Combined State Law Examination