Thomas W. Cheung
Professional summary
Thomas W Cheung, who also goes by Thomas Cheung, Wingwah Cheung, is a registered financial professional currently at WALL STREET ACCESS located in Park Ridge, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas W Cheung's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 18, 2020 - Present
WALL STREET ACCESS
Office #1: One Maynard Drive Suite 2201, Park Ridge, NJ 07656July 2, 2018 - September 10, 2019
WALL STREET ACCESS
June 10, 2015 - July 2, 2018
VANDHAM SECURITIES CORP.
April 9, 2003 - July 28, 2014
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2020)
(3/18/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/28/2008
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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