Richard Y. Chung
Professional summary
Richard Yi Chung, who also goes by Richard Y Chung, is a registered financial professional currently at RBC CMA LTD located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Yi Chung's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2023 - Present
RBC CMA LTD
Office #1: 200 Vesey Street 14th Floor, New York, NY 10281September 1, 2018 - March 3, 2023
BMO CAPITAL MARKETS CORP.
June 13, 2016 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
February 4, 2005 - February 15, 2016
BARCLAYS CAPITAL INC.
September 14, 1995 - November 21, 1997
MORGAN STANLEY DW 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
(4/20/2023)
Exams
FINRA
Nasdaq Stock Market
Current Firm
RBC CMA LTD
CRD#: 121263 / SEC#: , 8-65401
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL OPERATIONS OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| PODYMA, LIDIA ANETA | PRINCIPAL FINANCIAL OFFICER | 5764487 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
| Regulatory Event | 6 |
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.
