Marcial F. Chiong

Some features on this profile are disabled

CRD#: 1548382

Professional summary

Marcial Fernando Chiong JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marcial is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Marcial had worked at 12 firms, which includes DRAKE & COMPANY INC., PARAGON CAPITAL MARKETS INC., AIBC INVESTMENT SERVICES CORPORATION, GLOBAL EQUITIES GROUP INC, DUKE & CO. INC., TUCKER ANTHONY INCORPORATED, GRUNTAL & CO. L.L.C., JOSEPHTHAL & CO. INC., GLOBAL AMERICA INCORPORATED, VANDERBILT SECURITIES INC., J. T. MORAN & CO. INC., EQUITABLE SECURITIES OF NEW YORKINC..

Question & Answer

Are you a "fiduciary"?

Aliases

Marcial F Chiong | Marcial Ferdinand Chiong Jr | Marcial Fernand Chiong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 5, 1999 - April 27, 1999

DRAKE & COMPANY, INC.

CRD#: 16227

NEW YORK, NY

Past

November 30, 1998 - February 5, 1999

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

Past

February 2, 1998 - August 10, 1998

AIBC INVESTMENT SERVICES CORPORATION

CRD#: 16397

Past

July 18, 1996 - January 6, 1998

GLOBAL EQUITIES GROUP INC

CRD#: 34039

NEW YORK, NY

Past

June 21, 1996 - July 16, 1996

DUKE & CO., INC.

CRD#: 8035

NEW YORK, NY

Past

December 11, 1992 - August 16, 1993

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 20, 1992 - December 12, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

February 27, 1991 - July 9, 1992

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

March 21, 1990 - February 14, 1991

GLOBAL AMERICA INCORPORATED

CRD#: 23000

Past

February 9, 1990 - March 22, 1990

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

January 25, 1990 - March 22, 1990

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

September 20, 1988 - February 14, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Past

November 25, 1987 - September 22, 1988

EQUITABLE SECURITIES OF NEW YORK,INC.

CRD#: 14583

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/26/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/20/1996

General Securities Principal Examination

Current Firm

DRAKE & COMPANY, INC.

DRAKE & COMPANY, INC. | DRAKE CAPITAL SECURITIES, INC.

CRD#: 16227 / SEC#: , 8-33490

Terminated by SEC on 12/24/2000

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

California since 12/27/1984

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DRAKE & COMPANY HOLDINGS, INC.	SHAREHOLDER
BARNETT, DAVID B	CFO	1669970
LEVINE, DANNY JAY	PRESIDENT / CEO / CROP / SROP	1007419
LEVINE, GEORGE BERNARD	CHAIRMAN & DIRECTOR	307904
LEVINE, MARC IRA	DIRECTOR	1945069
WESSEL, MICHELE	COMPLIANCE DIRECTOR	1017763

Disclosures

Regulatory Event	8
Arbitration	8

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marcial F. Chiong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARAGON CAPITAL MARKETS, INC.

AIBC INVESTMENT SERVICES CORPORATION

GLOBAL EQUITIES GROUP INC

DUKE & CO., INC.

TUCKER ANTHONY INCORPORATED

GRUNTAL & CO., L.L.C.

JOSEPHTHAL & CO., INC.

GLOBAL AMERICA INCORPORATED

VANDERBILT SECURITIES, INC.

VANDERBILT SECURITIES, INC.

J. T. MORAN & CO., INC.

EQUITABLE SECURITIES OF NEW YORK,INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/1995

Series 7

Date: 2/26/1996

Series 24

Date: 11/20/1996

Current Firm

DRAKE & COMPANY, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DRAKE & COMPANY, INC.

TRUST BUT VERIFY

Similar Advisors