Allen K. Tjiong
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.
Allen Kwong Tjiong was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1987. Allen had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2017 - April 8, 2022
BOC INTERNATIONAL (USA) INC.
September 10, 2003 - May 16, 2008
DAIWA CAPITAL MARKETS AMERICA INC.
January 16, 2001 - August 29, 2003
CAZENOVE INCORPORATED
May 12, 2000 - December 11, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1998 - September 1, 1998
SALOMON BROTHERS INC.
May 22, 1998 - March 30, 2000
CITIGROUP GLOBAL MARKETS INC.
June 5, 1997 - May 20, 1998
JPMSI
May 10, 1994 - May 28, 1997
NOMURA SECURITIES INTERNATIONAL, INC.
April 30, 1992 - April 28, 1994
UBS SECURITIES LLC
June 13, 1990 - April 29, 1992
SALOMON BROTHERS INC.
January 21, 1987 - May 29, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
BOC INTERNATIONAL (USA) INC.
CRD#: 132919 / SEC#: , 8-66662
Contact information
Documents
Direct owners and executive officers
Red Flags
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