Pamela S. Cheung
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.
Pamela Susan Cheung was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1997. Pamela had worked at 7 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2008 - October 30, 2008
JESUP & LAMONT SECURITIES CORP
May 7, 2008 - June 10, 2008
EMPIRE FINANCIAL GROUP, INC.
January 18, 2007 - February 6, 2008
COWEN EXECUTION SERVICES LLC
April 18, 2006 - December 5, 2006
CARIS & COMPANY, INC.
March 6, 2000 - March 29, 2006
B-TRADE SERVICES LLC
July 22, 1999 - October 5, 1999
CREDIT SUISSE SECURITIES (USA) LLC
February 6, 1997 - May 13, 1999
HAMBRECHT & QUIST LLC
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
Series 55
Date: 2/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
