TC
Thomas T. Chung
ROTHSCHILD & CO US
NEW YORK, NY 10020
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CRD#: 2322461
TC
Professional summary
Thomas T Chung is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas T Chung'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®
NoneExperience
Current
December 6, 2024 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 2910
NEW YORK, NY
Past
May 1, 2017 - November 12, 2024
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
December 18, 2000 - May 15, 2017
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
June 30, 1999 - December 18, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
October 17, 1994 - August 20, 1997
TONG YANG SECURITIES (AMERICA), INC.
BD
CRD#: 30701
NEW YORK, NY
Past
March 24, 1993 - August 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(12/6/2024)
RR
Alaska(12/6/2024)
RR
Arizona(12/6/2024)
RR
Arkansas(12/6/2024)
RR
California(12/6/2024)
RR
Colorado(12/6/2024)
RR
Connecticut(12/6/2024)
RR
Delaware(12/6/2024)
RR
District of Columbia(12/6/2024)
RR
Florida(12/6/2024)
RR
Georgia(12/6/2024)
RR
Hawaii(12/6/2024)
RR
Idaho(12/6/2024)
RR
Illinois(12/6/2024)
RR
Indiana(12/6/2024)
RR
Iowa(12/6/2024)
RR
Kansas(12/6/2024)
RR
Kentucky(12/6/2024)
RR
Louisiana(12/6/2024)
RR
Maine(12/6/2024)
RR
Maryland(12/6/2024)
RR
Massachusetts(12/6/2024)
RR
Michigan(12/6/2024)
RR
Minnesota(12/6/2024)
RR
Mississippi(12/6/2024)
RR
Missouri(12/6/2024)
RR
Montana(12/6/2024)
RR
Nebraska(12/6/2024)
RR
Nevada(12/6/2024)
RR
New Hampshire(12/6/2024)
RR
New Jersey(12/6/2024)
RR
New Mexico(12/6/2024)
RR
New York(12/6/2024)
RR
North Carolina(12/6/2024)
RR
North Dakota(12/6/2024)
RR
Ohio(12/6/2024)
RR
Oklahoma(12/6/2024)
RR
Oregon(12/6/2024)
RR
Pennsylvania(12/6/2024)
RR
Puerto Rico(12/6/2024)
RR
Rhode Island(12/6/2024)
RR
South Carolina(12/6/2024)
RR
South Dakota(12/6/2024)
RR
Tennessee(12/6/2024)
RR
Texas(12/6/2024)
RR
Utah(12/6/2024)
RR
Vermont(12/6/2024)
RR
Virginia(12/6/2024)
RR
Washington(12/6/2024)
RR
West Virginia(12/6/2024)
RR
Wisconsin(12/6/2024)
RR
Wyoming(12/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 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.
