Peter S. Chung
Professional summary
Peter Shawn Chung was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Peter had worked at 10 firms, which includes SIERRA EQUITY GROUP LLC, BASIS FINANCIAL LLC, BROOKSHIRE SECURITIES CORPORATION, WINDSOR STREET CAPITAL LP, LADENBURG THALMANN & CO. INC., RICKEL & ASSOCIATES INC., JOSEPHTHAL & CO. INC., D. BLECH & COMPANY INCORPORATED, REICH & CO. INC., PARAGON CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2009 - December 30, 2010
SIERRA EQUITY GROUP LLC
July 23, 2008 - March 17, 2009
BASIS FINANCIAL, LLC
August 29, 2002 - March 26, 2009
BROOKSHIRE SECURITIES CORPORATION
September 30, 1998 - August 13, 2002
WINDSOR STREET CAPITAL, LP
October 7, 1997 - September 15, 1998
LADENBURG THALMANN & CO. INC.
August 29, 1996 - September 16, 1997
RICKEL & ASSOCIATES, INC.
October 10, 1994 - September 5, 1996
JOSEPHTHAL & CO., INC.
August 11, 1993 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
April 7, 1992 - July 23, 1993
REICH & CO., INC.
April 27, 1990 - April 4, 1992
PARAGON CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIERRA EQUITY GROUP LLC
CRD#: 36518 / SEC#: , 8-47318
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOM, ERIC LAWRENCE | PRESIDENT, GENERAL PRINCIPAL, CHIEF COMPLIANCE OFFICER | 1742255 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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