David Cheung
Professional summary
David Cheung is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 62, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Cheung's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 3, 2017 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202August 10, 2011 - December 17, 2016
D.A. DAVIDSON & CO.
January 12, 2001 - July 6, 2011
MOUNTAINVIEW SECURITIES, LLC
January 12, 2000 - January 12, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 23, 1998 - January 12, 2001
HANIFEN, IMHOFF INC.
December 2, 1996 - February 23, 1998
HANIFEN, IMHOFF INC.
November 15, 1995 - November 7, 1996
GLOBAL ACCESS FINANCIAL SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/3/2017)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 62
Date: 10/25/1995
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
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