Szymon Chencin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Szymon Chencin was a registered financial professional .
Szymon is a previously registered financial professional and started their career in finance in 1983. Szymon had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2000 - September 18, 2002
STERLING FINANCIAL INVESTMENT GROUP, INC.
March 1, 1997 - February 7, 2000
TRADE.COM ONLINE SECURITIES, INC.
February 22, 1996 - February 10, 1997
LAIDLAW GLOBAL SECURITIES, INC.
April 20, 1995 - February 20, 1996
J.P. MORGAN SECURITIES LLC
January 14, 1994 - April 19, 1995
GRUNTAL & CO., L.L.C.
December 7, 1988 - December 21, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 24, 1984 - December 13, 1988
LEHMAN BROTHERS INC.
August 22, 1983 - September 17, 1984
E. F. HUTTON & COMPANY INC
May 25, 1983 - August 15, 1983
PHILIPS, APPEL & WALDEN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
