Christopher D. Chung
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.
Christopher David Chung, who also goes by Chris Chuna, Christopher Chung, was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 1992. Christopher had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2003 - December 1, 2004
GILFORD SECURITIES INCORPORATED
January 7, 2002 - October 31, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2002 - October 31, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2000 - January 10, 2002
UBS FINANCIAL SERVICES INC.
February 1, 1999 - October 27, 2000
W. H. MELL ASSOCIATES, INC.
June 7, 1996 - February 4, 1999
JANNEY MONTGOMERY SCOTT LLC
November 9, 1992 - June 17, 1996
TUCKER ANTHONY INCORPORATED
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 8
Date: 12/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
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.
