Eugene L. Co
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.
Eugene Lim Co, who also goes by Gene Co, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1988. Eugene had worked at 5 firms and has passed the Series 63, Series 79TO, SIE 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
July 21, 2021 - September 26, 2025
OBERON SECURITIES, LLC
February 21, 2020 - January 21, 2021
AUERBACH GRAYSON & COMPANY LLC
August 7, 2015 - August 18, 2018
CPIBD LLC
November 12, 1996 - September 9, 2002
BLACKSTONE SECURITIES PARTNERS L.P.
October 19, 1988 - March 17, 1992
SALOMON BROTHERS 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 79TO
Date: 7/21/2020
Investment Banking Registered Representative ExaminationCurrent Firm
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
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.
