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SY

Sun J. Yung

BA SECURITIES
W. Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 1889514
SY

Professional summary

Sun Jen Yung, who also goes by Sun Sheng Jen, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.

Sun is registered as a RR (Registered Representative) and started their career in finance in 1995. Sun has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sun Sheng Jen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sun Jen Yung's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 10, 2018 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428Office #2: 704 Sansome Street, San Francisco, CA 94111
BD
CRD#: 153489
W. Conshohocken, PA
Past

May 21, 2010 - April 10, 2018

HEADWATERS BD, LLC

BD
CRD#: 117042
DENVER, CO
Past

April 23, 2010 - May 3, 2010

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

May 1, 2008 - February 3, 2009

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

September 21, 2006 - May 1, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

August 8, 2005 - September 8, 2006

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

May 23, 2001 - May 10, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 17, 1995 - February 22, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/17/2018)
RR
Connecticut
(4/10/2018)
RR
Pennsylvania
(4/10/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BA HOLDCO, LLCOWNER
BOLDEN, MICHAEL LABRADORCHIEF COMPLIANCE OFFICER6411755
CHUFF, JOHN JOSEPHPRESIDENT1205736
HATLING, PEDER ALANPRINCIPAL5240595
JUILIANO, COLLEEN JANEFINOP4818898
KELLER-YOUNG, SUZANNEOPERATIONS MANAGER5495492
PICKENS, DANIEL NEHILPRINCIPAL1042225
WENTZLER, DENNIS RAYMONDCHIEF OPERATIONS OFFICER & AML OFFICER4221461

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.

Company Information

BA SECURITIES, LLC

CRD#: 153489W. Conshohocken, PA 19428

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