John J. 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.
John Jay Chung, who also goes by John J Chung, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 4 firms and has passed the Series 63, 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
April 12, 2013 - January 13, 2014
INSIGNEO SECURITIES, LLC
February 2, 2010 - April 18, 2011
INSIGNEO SECURITIES, LLC
July 25, 2006 - August 18, 2008
CITIGROUP GLOBAL MARKETS INC.
November 28, 1997 - December 12, 2002
CITIGROUP GLOBAL MARKETS INC.
January 25, 1995 - September 1, 1998
SALOMON BROTHERS INC.
October 20, 1987 - April 27, 1989
CREDIT SUISSE SECURITIES (USA) LLC
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
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
| Regulatory Event | 3 |
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.
