Adele Lun
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.
Adele Lun, who also goes by Adele Iping Chiang, Adele Chiang, Iping Chiang, Adele Iping Chiang Chow, Adele Chow, was a registered financial professional .
Adele is a previously registered financial professional and started their career in finance in 1988. Adele had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2017 - August 18, 2025
GRIFFINEST ASIA SECURITIES, LLC
January 6, 2012 - December 5, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 1, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
May 28, 2002 - March 28, 2007
DEUTSCHE BANK SECURITIES INC.
February 13, 2001 - April 13, 2010
DEUTSCHE BANK SECURITIES INC.
August 5, 1994 - April 18, 2000
PERSHING LLC
January 3, 1994 - August 18, 1994
LEHMAN BROTHERS INC.
July 31, 1993 - January 14, 1994
CITIGROUP GLOBAL MARKETS INC.
October 3, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
November 23, 1988 - September 19, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 2/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GRIFFINEST ASIA SECURITIES, LLC
CRD#: 132187 / SEC#: , 8-66571
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
