Jeng Y. Su
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.
Jeng Yi Su, who also goes by Jengyi Su, was a registered financial professional .
Jeng is a previously registered financial professional and started their career in finance in 1989. Jeng had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1995 - March 29, 1996
CAPITAL WORLD SECURITIES CORP
February 11, 1993 - September 15, 1993
FIRST MONTAUK SECURITIES CORP.
April 27, 1992 - February 20, 1993
CORTLANDT CAPITAL CORPORATION
September 6, 1991 - May 1, 1992
FIRST MONTAUK SECURITIES CORP.
May 5, 1989 - August 28, 1991
BARRETT DAY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL WORLD SECURITIES CORP
CRD#: 32384 / SEC#: , 8-45694
Contact information
Documents
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.
