Lanny Cheng
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.
Lanny Cheng was a registered financial professional .
Lanny is a previously registered financial professional and started their career in finance in 1986. Lanny had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
March 8, 2012 - April 10, 2018
WESCOM FINANCIAL SERVICES
March 8, 2012 - April 10, 2018
WESCOM FINANCIAL SERVICES
January 5, 2010 - March 7, 2012
SYNDICATED CAPITAL, INC.
January 4, 2010 - March 7, 2012
SYNDICATED CAPITAL, INC.
September 4, 2009 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2009 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 12, 2006 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 5, 2004 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 2, 1999 - October 30, 2003
UBS FINANCIAL SERVICES INC.
April 17, 1998 - October 30, 2003
UBS FINANCIAL SERVICES INC.
October 30, 1986 - February 10, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
June 5, 1986 - August 29, 1986
E-W INVESTMENTS, 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
Series 8
Date: 7/30/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESCOM FINANCIAL SERVICES
CRD#: 125650 / SEC#: 801-113359, 8-66189
Contact information
FINRA licenses (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,138 |
| AUM (Assets Under Management) | $ 226,085,019 |
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.
