Sammy C. Chua
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.
Sammy Co Chua, who also goes by Sammy Oc Chua, Sammy Chua, was a registered financial professional .
Sammy is a previously registered financial professional and started their career in finance in 1996. Sammy had worked at 2 firms and has passed the Series 63, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2000 - August 4, 2000
PROVIDENTIAL SECURITIES, INC.
April 10, 1996 - December 31, 1997
WMA SECURITIES, 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
Exams
Current Firm
PROVIDENTIAL SECURITIES, INC.
CRD#: 31189 / SEC#: , 8-45452
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
