Wing F. Chau
Professional summary
Wing Fu Chau was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wing is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Wing had worked at 8 firms, which includes MCM SECURITIES LLC, MAXIM GROUP LLC, NOMURA SECURITIES INTERNATIONAL INC., BARCLAYS CAPITAL INC., COWEN AND COMPANY, CITIGROUP GLOBAL MARKETS INC., SALOMON BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2009 - May 14, 2010
MCM SECURITIES LLC
May 20, 2004 - July 20, 2006
MAXIM GROUP LLC
July 15, 2002 - January 12, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
January 28, 2002 - July 3, 2002
BARCLAYS CAPITAL INC.
July 27, 2001 - February 7, 2002
COWEN AND COMPANY
September 1, 1998 - March 12, 1999
CITIGROUP GLOBAL MARKETS INC.
January 7, 1997 - September 1, 1998
SALOMON BROTHERS INC.
March 11, 1996 - December 18, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1994 - December 20, 1995
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
MCM SECURITIES LLC
CRD#: 41571 / SEC#: , 8-49496
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 1 |
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