Sidney C. Eng
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.
Sidney Carl Eng was a registered financial professional .
Sidney is a previously registered financial professional and started their career in finance in 1970. Sidney had worked at 9 firms and has passed the Series 63, Series 5, PC, Series 1, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1996 - July 25, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
May 3, 1994 - March 29, 1996
BROOKSTREET SECURITIES CORPORATION
September 23, 1992 - May 6, 1994
UBS FINANCIAL SERVICES INC.
March 2, 1989 - September 23, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 30, 1982 - February 24, 1989
J.P. MORGAN SECURITIES LLC
January 31, 1980 - December 15, 1982
UBS FINANCIAL SERVICES INC.
April 8, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 15, 1974 - April 30, 1976
E. F. HUTTON & COMPANY INC
August 3, 1973 - March 28, 1974
DUPONT WALSTON
September 11, 1970 - September 8, 1973
HAYDEN STONE 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 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 2/20/1969
Registered Representative ExaminationCurrent Firm
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
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