Chihcary Cheng
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.
Chihcary Cheng, CFP®, who also goes by Cary Cheng, Chih Cary Cheng, Chincary C Cheng, was a registered financial professional .
Chihcary is a previously registered financial professional and started their career in finance in 1989. Chihcary had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
December 13, 2013 - July 20, 2016
AVANTAX INVESTMENT SERVICES, INC.
December 10, 2013 - July 20, 2016
AVANTAX ADVISORY SERVICES
March 13, 2008 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
May 16, 2007 - December 31, 2007
WHITE PACIFIC INVESTMENT ADVISORY SERVICES
November 16, 2001 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
May 26, 2000 - November 20, 2001
MURIEL SIEBERT & CO., LLC
February 4, 2000 - May 11, 2000
STOCKWALK.COM, INC.
March 16, 1992 - December 21, 1999
M.ONE INVESTMENT SECURITIES, INC.
June 16, 1989 - February 19, 1992
ACUMENT SECURITIES, INC.
April 3, 1989 - May 3, 1989
INTERFIRST CAPITAL CORPORATION
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
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 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.
