Stephanie P. Chooi
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.
Stephanie Pey Chooi, who also goes by Pey Yee Chooi, Stephanie Chooi, was a registered financial advisor .
Stephanie is a previously registered financial advisor and started their career in finance in 1990. Stephanie had worked at 7 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4, Series 27 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
Experience
August 14, 2003 - July 3, 2007
TIMES SECURITIES, INC.
May 16, 2002 - July 3, 2007
TIMES SECURITIES, INC.
March 15, 2002 - April 10, 2003
SYNERGY INVESTMENT GROUP, LLC
May 12, 2000 - January 11, 2001
ETS SECURITIES, INC.
November 2, 1998 - November 27, 2001
STOCK USA, INC.
March 30, 1998 - November 17, 1998
ACE DIVERSIFIED CAPITAL, INC.
December 17, 1990 - April 22, 1992
IDS LIFE INSURANCE COMPANY
December 17, 1990 - April 22, 1992
AMERIPRISE FINANCIAL SERVICES, 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
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
TIMES SECURITIES, INC.
CRD#: 118813 / SEC#: , 8-53691
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHOOI, STEPHANIE PEY | OWNER, PRESIDENT, CEO, CROP, SROP, CHIEF COMPLIANCE OFFICER, FINOP | 2108458 |
Disclosures
| Arbitration | 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.
