Chong P. Huan
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.
Chong Piaw Huan was a registered financial professional .
Chong is a previously registered financial professional and started their career in finance in 1989. Chong had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2014 - September 16, 2019
INLAND SECURITIES CORPORATION
February 4, 2011 - March 7, 2014
CCO CAPITAL, LLC
January 2, 2008 - July 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 2, 2008 - July 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 30, 2007 - August 10, 2007
PINEBRIDGE SECURITIES LLC
June 6, 2002 - June 16, 2006
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 5, 2000 - June 16, 2006
NYLIFE DISTRIBUTORS LLC
March 17, 1998 - January 28, 2000
FUNDS DISTRIBUTOR, LLC
June 24, 1994 - April 8, 1996
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
June 20, 1989 - April 29, 1994
BOSTON PARTNERS SECURITIES, L.L.C.
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
INLAND SECURITIES CORPORATION
CRD#: 15807 / SEC#: , 8-32775
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INLAND REAL ESTATE INVESTMENT CORPORATION | CORPORATION | |
| CHERESO, ANTHONY JOSEPH | DIRECTOR | 5289928 |
| HRTANEK, CATHLEEN MAY-ORBAN | DIRECTOR | 7886681 |
| KASPRZAK, DAVID EDWARD | PRINCIPAL, EXECUTIVE VICE PRESIDENT | 2651202 |
| LYNCH, CATHERINE LYNN | CHIEF FINANCIAL OFFICER & DIRECTOR | 2584621 |
| TUCEK, AMY CATHERINE | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 2021342 |
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.
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