Yek C. Eng
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.
Yek C Eng, who also goes by Chee Y Eng, Chee Yek Eng, Yek Chee Eng, was a registered financial professional .
Yek is a previously registered financial professional and started their career in finance in 1988. Yek had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2016 - October 1, 2016
J.P. MORGAN CLEARING CORP.
January 21, 2016 - July 24, 2018
J.P. MORGAN SECURITIES LLC
April 24, 2014 - November 20, 2015
COWEN EXECUTION SERVICES LLC
August 30, 2013 - June 11, 2014
OCTEG, LLC
July 2, 2012 - April 30, 2014
VIRTU AMERICAS LLC
June 27, 2008 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
August 10, 2000 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
April 6, 1999 - August 8, 2000
THE THORNWATER COMPANY, L.P.
February 26, 1998 - April 6, 1999
FIRST COLONIAL SECURITIES
August 14, 1995 - January 29, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
July 28, 1993 - August 10, 1995
BARINGTON CAPITAL GROUP, L.P.
September 2, 1988 - January 12, 1989
FORESTERS FINANCIAL SERVICES, INC.
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
Series 55
Date: 7/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN CLEARING CORP.
CRD#: 28432 / SEC#: 801-61542, 8-43724
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | SHAREHOLDER | 79 |
| BERNSTEIN, JEFFREY CARL | DIRECTOR | 1844904 |
| BRANNAN, PAUL F | DIRECTOR | 6142593 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND FINOP | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| FREILICH, WILLIAM HOWARD | CHIEF LEGAL OFFICER | 2203801 |
| HEITSENRETHER, TERESA ANN | CHAIRMAN, CHIEF EXECUTIVE OFFICER | 2722512 |
| KIRBY, PATRICK C | CHIEF OPERATING OFFICER AND DIRECTOR | 2595086 |
| LIPMAN, JEFFREY MARK | SECRETARY | 717915 |
| MCKENNA, JOHN JAMES | DIRECTOR | 2732946 |
| MINIKES, MICHAEL | DIRECTOR | 1204499 |
| PATTERSON, DAWN ANN | CHIEF COMPLIANCE OFFICER | 2862235 |
| REED, JAMIE MATTHEW | DIRECTOR | 2797383 |
Disclosures
| Regulatory Event | 38 |
| Civil Event | 1 |
| Arbitration | 28 |
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.
