Sunny Cheung

CAPSTONE PARTNERS

Irvine, CA 92618

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CRD#: 2790719

Professional summary

Sunny Cheung is a registered financial professional currently at CAPSTONE PARTNERS located in Irvine, California.

Sunny is registered as a RR (Registered Representative) and started their career in finance in 2006. Sunny has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sunny Cheung's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 7, 2024 - Present

CAPSTONE PARTNERS

Office #1: 7700 Irvine Center Drive Suite 530, Irvine, CA 92618

CRD#: 132185

Irvine, CA

Past

April 27, 2020 - July 10, 2024

IMPERIAL CAPITAL, LLC

CRD#: 43744

LOS ANGELES, CA

Past

January 3, 2020 - April 27, 2020

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

February 15, 2012 - January 3, 2020

SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328

NEW YORK, NY

Past

February 7, 2008 - February 21, 2012

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

June 30, 2006 - February 27, 2008

IMPERIAL CAPITAL, LLC

CRD#: 43744

NEW YORK, NY

Past

March 21, 2006 - June 27, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 14, 2006 - March 30, 2006

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

CRD#: 41461

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/7/2024)

Exams

State Security Law Exam

Series 63

Date: 10/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPSTONE PARTNERS

CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

10 Post Office Square Suite 800n, Boston, MA 02109

Mailing Address

10 Post Office Square Suite 800n, Boston, MA 02109

Phone number

(617) 619-3300

Established

Delaware since 04/08/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPSTONE CORPORATE FINANCE LLC	DIRECT OWNER
BEEKMAN, TODD ANDREW	DIRECTOR	6291198
CASPER, MARK VERNON JR.	CHIEF FINANCIAL OFFICER	6682711
DAHLKE, STEPHEN MATTHEW	CHIEF COMPLIANCE OFFICER	2577928
FERRARA, JOHN MARIO II	PRESIDENT	2097226
JANSON, PAUL EDWARD	DIRECTOR	4992234
KLEINMAN, SCOTT DAVID	DIRECTOR	2357636
MILCETICH, MATTHEW LOUIS	EXECUTIVE MANAGING DIRECTOR	6419334
VALDIVIA, SERENA	AML OFFICER	7790899

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Sunny Cheung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sunny Cheung's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPERIAL CAPITAL, LLC

PIPER SANDLER & CO.

SANDLER, O'NEILL & PARTNERS, L.P.

GLEACHER & COMPANY SECURITIES, INC.

IMPERIAL CAPITAL, LLC

J.P. MORGAN SECURITIES LLC

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2004

Series 24

Date: 5/18/2012

FINRA

Current Firm

CAPSTONE PARTNERS

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPSTONE PARTNERS

TRUST BUT VERIFY

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