Stephen C. Sze
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.
Stephen C Kay Sze, who also goes by Stephen Chung Sze, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
February 10, 2017 - March 17, 2019
SINGPOLI WEALTH MANAGEMENT LLC
May 10, 2006 - April 17, 2015
UBS SECURITIES LLC
September 9, 2005 - March 22, 2006
BNP PARIBAS SECURITIES CORP.
December 20, 1996 - September 15, 2005
DEUTSCHE BANK SECURITIES INC.
April 6, 1993 - July 2, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH 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: 8/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SINGPOLI WEALTH MANAGEMENT LLC
CRD#: 137889 / SEC#: , 8-67126
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
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.
