Aleanor S. Tong
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.
Aleanor Sauyan Tong, who also goes by Aleanor Sau Yan Chan, Aleanor Sau Yan Tong Chan, Aleanor Sauyan Chan, Aleanor Sau Yan Tong, was a registered financial professional .
Aleanor is a previously registered financial professional and started their career in finance in 1985. Aleanor had worked at 8 firms and has passed the SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2014 - August 26, 2019
COURTLANDT SECURITIES CORPORATION
September 26, 2011 - October 4, 2012
QUEST CAPITAL STRATEGIES, INC.
June 1, 2009 - October 8, 2009
MORGAN STANLEY
June 18, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 19, 1997 - June 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - April 10, 1997
CITIGROUP GLOBAL MARKETS INC.
May 24, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
August 18, 1986 - November 13, 1986
FORESTERS FINANCIAL SERVICES, INC.
April 23, 1985 - April 7, 1986
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
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
Series 8
Date: 6/5/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COURTLANDT SECURITIES CORPORATION
CRD#: 137356 / SEC#: , 8-67081
Contact information
FINRA licenses (10 States and Territories)
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.
