Wellson W. Cheung
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.
Wellson Wai-sang Cheung, who also goes by Wellson Sai Sang Cheung, Wellson Wai Sang Cheung, Wellson Waisang Cheung, was a registered financial professional .
Wellson is a previously registered financial professional and started their career in finance in 1987. Wellson had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2012 - October 12, 2017
LPL FINANCIAL LLC
February 4, 2010 - September 6, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 8, 2005 - December 31, 2007
PRINCIPAL SECURITIES, INC.
January 6, 2003 - August 16, 2004
MONY SECURITIES CORPORATION
November 5, 2002 - January 13, 2003
SUNAMERICA SECURITIES, INC.
August 1, 2001 - March 8, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 1, 2001 - March 8, 2002
MSI FINANCIAL SERVICES, INC.
November 4, 1996 - June 12, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 4, 1996 - June 12, 2001
OSAIC FA, INC.
January 30, 1990 - December 15, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 30, 1989 - February 8, 1990
G. R. PHELPS & CO., INC.
December 9, 1987 - April 26, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
