Sauping Kwan
Professional summary
Sauping Kwan, who also goes by Sau Ping Kwan, is a registered financial professional currently at DZ FINANCIAL MARKETS LLC located in New York, New York.
Sauping is registered as a RR (Registered Representative) and started their career in finance in 1993. Sauping has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sauping Kwan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 1999 - Present
DZ FINANCIAL MARKETS LLC
Office #1: One Vanderbilt - 49th Floor Main Office, New York, NY 10017Office #2: One Vanderbilt 49th Floor, New York, NY 10017November 15, 1993 - October 31, 2002
DG EUROPEAN SECURITIES CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DZ FINANCIAL MARKETS LLC
CRD#: 47098 / SEC#: , 8-51687
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DZ BANK AG DEUTSCHE ZENTRAL-GENOSSENSCHAFTSBANK FRANKFURT AM MAIN (DZ BANK AG) | SHAREHOLDER | |
| ENGLERT, CHRISTIAN | DIRECTOR - BOARD MEMBER | 7938811 |
| KATTAN, EMILE | CHIEF COMPLIANCE OFFICER | 5080805 |
| KWAN, SAUPING | FINOP | 2314707 |
| MCCANN, NORAH ELIZABETH MS | DIRECTOR | 5081651 |
| ORTOLF, HELMUT PIUS | DIRECTOR - BOARD MEMBER | |
| SUMMERER, GERHARD JR | PRESIDENT | 2662173 |
Red Flags
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