Richard S. Jung
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.
Richard Sang-wook Jung, who also goes by Richard Chung, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2015 - March 27, 2017
SHINHAN SECURITIES AMERICA, INC.
November 24, 2004 - March 20, 2015
NH INVESTMENT & SECURITIES AMERICA, INC.
September 8, 2003 - November 30, 2004
DBS VICKERS SECURITIES (USA) INC.
June 13, 2003 - August 11, 2003
LEDGEMONT CAPITAL MARKETS LLC
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
SHINHAN SECURITIES AMERICA, INC.
CRD#: 31977 / SEC#: , 8-45648
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
