Thomas W Cheung
Professional Summary
Thomas W Cheung, who also goes by Thomas Cheung, Wingwah Cheung, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas W Cheung, Thomas Cheung, Wingwah Cheung
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
WALL STREET ACCESS | WALL STREET INVESTOR SERVICES | WALL STREET CLEARING COMPANY
Contact Information
Main Address
100 Wall Street, Suite 1501, New York, NY 10005Mailing Address
100 Wall Street, Suite 804, New York, NY 10005Phone Number
(212) 709-9400Established
New York since 02/01/1981Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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
19Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/18/2020)
(3/18/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2008SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas W Cheung's CRS (Customer Relationship Summary).
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