Libby H. Leung
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.
Libby Hohwa Leung, who also goes by Libby Ho Hwa Leung, was a registered financial professional .
Libby is a previously registered financial professional and started their career in finance in 1983. Libby had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2006 - January 31, 2012
HAITONG INTERNATIONAL SECURITIES (USA) INC.
September 17, 2002 - September 15, 2006
R.W.PRESSPRICH & CO.
June 8, 2000 - June 5, 2002
ABN AMRO INCORPORATED
December 9, 1997 - May 11, 2000
SCHRODER & CO. INC.
May 13, 1997 - November 21, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
August 12, 1996 - May 19, 1997
EAGLE ROCK CAPITAL GROUP, INC.
October 25, 1995 - August 16, 1996
HUDSON ALLIANCE L.L.C.
August 19, 1985 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
August 23, 1983 - August 5, 1985
PRUDENTIAL EQUITY GROUP, LLC
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
HAITONG INTERNATIONAL SECURITIES (USA) INC.
CRD#: 132201 / SEC#: , 8-66566
Contact information
FINRA licenses (25 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| BASILOTTA, SILVIA GRACIELA | FINANCIAL OPERATIONS PRINCIPAL | 1201948 |
| CHOU, CHUK NAM | BOARD OF DIRECTORS MEMBER | 7755974 |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER | 1554301 |
| SHI, PING | BOARD OF DIRECTORS MEMBER | 7030173 |
| WU, YAN | DEPUTY CEO, BOARD OF DIRECTORS MEMBER | 3120765 |
| YE, WEILU | CEO, BOARD OF DIRECTORS MEMBER | 7205185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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