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JP

Jean Puong

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CRD#: 2479835
JP

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.

Jean Puong, who also goes by Jean W Shin, Jean Won Shin, was a registered financial professional .

Jean is a previously registered financial professional and started their career in finance in 1999. Jean had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jean W Shin | Jean Won Shin

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 4, 2018 - November 8, 2019

HAITONG SECURITIES USA LLC

BD
CRD#: 281918
New York, NY
Past

May 22, 2018 - November 8, 2019

HAITONG INTERNATIONAL SECURITIES (USA) INC.

BD
CRD#: 132201
NEW YORK, NY
Past

October 22, 2014 - April 9, 2018

CGS INTERNATIONAL SECURITIES USA, INC.

BD
CRD#: 141892
NEW YORK, NY
Past

May 28, 2013 - June 19, 2014

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

January 24, 2013 - April 8, 2013

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

December 21, 2009 - August 1, 2012

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 19, 2002 - August 4, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 3, 2000 - November 13, 2000

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 1, 1999 - November 3, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/22/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/1999
General Securities Representative Examination

Current Firm

HS
HAITONG SECURITIES USA LLC
HAITONG SECURITIES USA LLC

CRD#: 281918 / SEC#: , 8-69694

BD
Terminated by SEC on 12/27/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/30/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HAITONG INTERNATIONAL SECURITIES GROUP LIMITEDPARENT
FORBES, SEAN MATTHEWPRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER1554301

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.

Company Information

HAITONG SECURITIES USA LLC

CRD#: 281918

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