Taek M. Chong
Professional summary
Taek Man Chong was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Taek is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Taek had worked at 8 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC., COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, DEUTSCHE BANK SECURITIES INC., LEHMAN BROTHERS INC., SCHRODER & CO. INC., MONTGOMERY SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2004 - December 31, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 4, 2000 - May 22, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 14, 1999 - August 8, 2000
A. G. EDWARDS & SONS, INC.
July 1, 1998 - December 23, 1999
COWEN AND COMPANY
February 16, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
May 16, 1996 - August 9, 2000
DEUTSCHE BANK SECURITIES INC.
July 18, 1994 - November 10, 1995
LEHMAN BROTHERS INC.
September 28, 1987 - July 21, 1994
SCHRODER & CO. INC.
November 26, 1986 - October 1, 1987
MONTGOMERY SECURITIES
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
