MC
Maxwell J. Cheng
JEFFERIES INVESTMENT ADVISERS LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 1613019
MC
Professional summary
Maxwell James Cheng, who also goes by Max James Cheng, Ping Leung Cheng, Cheng James Maxwell James, is a registered financial advisor currently at JEFFERIES INVESTMENT ADVISERS LLC located in New York, New York and JEFFERIES LLC located in New York, New York.
Maxwell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Maxwell has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Max James Cheng | Ping Leung Cheng | Cheng James Maxwell James
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.
CRS (Client Relationship Summary) - RIA
Click below to view Maxwell James Cheng's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2023 - Present
JEFFERIES INVESTMENT ADVISERS LLC
Office #1: 520 Madison Avenue, New York, NY 10022RIA
CRD#: 325421
New York, NY
Current
January 5, 2006 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022BD
CRD#: 2347
NEW YORK, NY
Past
August 2, 2021 - August 14, 2023
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
NEW YORK, NY
Past
December 1, 2005 - December 19, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
June 19, 2000 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
September 23, 1993 - June 7, 2000
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
Past
August 5, 1991 - September 23, 1991
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JI
JEFFERIES INVESTMENT ADVISERS LLC
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421 / SEC#: 801-127656
RIA
Registered Investment Advisory firm - (4/20/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/28/2019)
RR
Alaska(3/28/2019)
RR
Arizona(9/9/2009)
RR
Arkansas(3/28/2019)
RR
California(2/22/2006)
RR
Colorado(4/10/2006)
RR
Connecticut(9/9/2009)
RR
Delaware(9/9/2009)
RR
District of Columbia(3/28/2019)
RR
Florida(9/9/2009)
RR
Georgia(3/28/2019)
RR
Hawaii(3/28/2019)
RR
Idaho(3/28/2019)
RR
Illinois(9/9/2009)
RR
Indiana(9/9/2009)
RR
Iowa(3/28/2019)
RR
Kansas(9/9/2009)
RR
Kentucky(9/9/2009)
RR
Louisiana(9/9/2009)
RR
Maine(3/28/2019)
RR
Maryland(9/9/2009)
RR
Massachusetts(9/9/2009)
RR
Michigan(3/28/2019)
RR
Minnesota(3/28/2019)
RR
Mississippi(3/28/2019)
RR
Missouri(9/9/2009)
RR
Montana(3/28/2019)
RR
Nebraska(3/28/2019)
RR
Nevada(3/28/2019)
RR
New Hampshire(3/28/2019)
RR
New Jersey(9/9/2009)
RR
New Mexico(3/28/2019)
RR
New York(2/22/2006)
IAR
New York(5/24/2023)
RR
North Carolina(9/10/2009)
RR
North Dakota(3/28/2019)
RR
Ohio(9/10/2009)
RR
Oklahoma(9/9/2009)
RR
Oregon(4/11/2019)
RR
Pennsylvania(9/9/2009)
RR
Puerto Rico(3/28/2019)
RR
Rhode Island(9/9/2009)
RR
South Carolina(9/9/2009)
RR
South Dakota(3/28/2019)
RR
Tennessee(9/9/2009)
RR
Texas(9/9/2009)
RR
Utah(3/28/2019)
RR
Vermont(3/28/2019)
RR
Virgin Islands(5/10/2024)
RR
Virginia(9/9/2009)
RR
Washington(9/9/2009)
RR
West Virginia(3/28/2019)
RR
Wisconsin(3/28/2019)
RR
Wyoming(3/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JI
JEFFERIES INVESTMENT ADVISERS LLC
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421 / SEC#: 801-127656
RIA
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 284-2300
Established
Firm type
Fiscal year end
# of Employees
135
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,081 |
| AUM (Assets Under Management) | $ 3,402,872,417 |
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.
