JC
Julia R. Cheng
SYNDICATED CAPITAL
Flushing, NY 11354
Some features on this profile are disabled
CRD#: 2125753
JC
Professional summary
Julia Rong Cheng, CFP® is a registered financial advisor currently at SYNDICATED CAPITAL, INC. located in Flushing, New York.
Julia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Julia has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Alltime Consulting Group of WeiWei Advisory Group, investment related, insurance and investments, Flushing, NY, Managing Director, 5/2012, 10 hours, 6 hours during trading hours, agent to sell insurance and financial planning and advising, annuity sales, life, health, LTC, DI.
2) Julia Cheng Wealth Management and Estate Planning, DBA Julia Cheng Pinnacle Financial and Insurance Sales, investment related, San Diego, CA, President, 1/2010, 50 hours, 1 hour/day during trading hours, management, marketing, insurance sales.
3) Julia Cheng Wealth Management and Estate Planning, Inc., investment related, insurance and investments, San Diego, CA, President, 1/2010, 40 hours, 15 hours during trading hours, marketing, insurance sales, financial plans, brokerage accounts.
4) Pacific Bridge Insurance Services, Inc., investment related, insurance and investments, Monrovia, CA, Vice President, 6/2019, 16 hours, 6 hours during trading hours, agent to sell insurance and financial planning and advising, annuity sales, life, health, LTC, DI.
CRS (Client Relationship Summary) - RIA
Click below to view Julia Rong Cheng's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julia Rong Cheng's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2009
Experience
Current
July 24, 2020 - Present
SYNDICATED CAPITAL, INC.
Office #1: 133-10 39th Avenue, Flushing, NY 11354Office #2: 8880 Rio San Diego Drive Suite 800, San Diego, CA 92108RIA
BD
CRD#: 29037
Flushing, NY
Current
June 18, 2020 - Present
SYNDICATED CAPITAL, INC.
Office #1: 133-10 39th Avenue, Flushing, NY 11354Office #2: 8880 Rio San Diego Drive Suite 800, San Diego, CA 92108RIA
BD
CRD#: 29037
Flushing, NY
Past
October 29, 2019 - July 14, 2020
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
San Diego, CA
Past
March 27, 2017 - July 29, 2020
SB ADVISORY, LLC
RIA
CRD#: 154680
San Diago, CA
Past
June 10, 2015 - December 11, 2019
IFS SECURITIES
BD
CRD#: 40375
San Diego, CA
Past
January 4, 2010 - June 8, 2015
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
SAN DIEGO, CA
Past
January 4, 2010 - June 8, 2015
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
March 3, 1998 - January 21, 2010
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SAN DIEGO, CA
Past
April 1, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 1, 1991 - January 21, 2010
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN DIEGO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (12/11/2025 Termination Requested)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/27/2022)
RR
California(6/19/2020)
IAR
California(7/24/2020)
RR
Connecticut(9/2/2021)
RR
Florida(4/14/2021)
RR
Nevada(1/22/2021)
RR
New Jersey(3/31/2021)
RR
New Mexico(10/11/2021)
RR
New York(8/7/2020)
RR
North Carolina(3/11/2022)
RR
Ohio(2/3/2025)
RR
Oregon(3/22/2021)
RR
Pennsylvania(4/14/2021)
RR
Texas(10/7/2020)
RR
Virginia(6/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (12/11/2025 Termination Requested)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765
Mailing Address
P. O. Box 274, Brea, CA 92822
Phone number
(310) 751-7098
Established
California since 02/24/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| 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.
