Newton L. Chung
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.
Newton Lee Chung was a registered financial professional .
Newton is a previously registered financial professional and started their career in finance in 1992. Newton had worked at 5 firms and has passed the Series 63, Series 55, 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
August 5, 2013 - May 13, 2014
WALLACHBETH CAPITAL LLC
January 9, 2012 - January 2, 2013
FM PARTNERS HOLDINGS LLC
March 27, 2002 - October 31, 2011
VIRTU ITG LLC
May 30, 1996 - March 20, 2002
PERSHING LLC
May 6, 1992 - June 3, 1996
NOMURA SECURITIES INTERNATIONAL, 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 55
Date: 5/29/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 8/17/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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