Cary M. 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.
Cary M Cheung, who also goes by Cary Cheung, was a registered financial professional .
Cary is a previously registered financial professional and started their career in finance in 1996. Cary had worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2019 - September 19, 2019
NAVIAN CAPITAL SECURITIES LLC
April 11, 2019 - September 18, 2023
ICAPITAL MARKETS LLC
January 20, 2015 - November 28, 2018
INCAPITAL DISTRIBUTORS LLC
January 2, 2015 - April 8, 2019
INSPEREX LLC
August 12, 2014 - January 6, 2015
VOYA FINANCIAL ADVISORS, INC.
June 6, 2013 - June 19, 2014
NAVIAN CAPITAL SECURITIES LLC
May 18, 2011 - April 30, 2013
CETERA INVESTMENT SERVICES LLC
April 29, 2011 - April 30, 2013
CETERA INVESTMENT SERVICES LLC
May 2, 2009 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
August 8, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
August 8, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
March 7, 2006 - August 2, 2006
LPL FINANCIAL LLC
March 7, 2006 - August 2, 2006
LPL FINANCIAL LLC
June 1, 2005 - February 28, 2006
WAMU INVESTMENTS, INC.
January 6, 2005 - February 28, 2006
WAMU INVESTMENTS, INC.
June 10, 2003 - December 31, 2003
VESTAX SECURITIES CORPORATION
June 10, 2003 - December 31, 2003
LOCUST STREET SECURITIES, INC.
June 10, 2003 - December 31, 2003
IFG NETWORK SECURITIES, INC.
June 10, 2003 - April 28, 2004
CETERA ADVISORS LLC
June 10, 2003 - April 28, 2004
VOYA FINANCIAL ADVISORS, INC.
August 9, 2000 - January 3, 2005
CETERA WEALTH SERVICES, LLC
May 17, 1999 - November 18, 1999
GUNNALLEN FINANCIAL, INC
January 4, 1999 - May 18, 1999
JWGENESIS FINANCIAL GROUP, INC
August 18, 1998 - January 4, 1999
CHATFIELD DEAN & CO., INC.
November 14, 1996 - September 9, 1998
LADENBURG CAPITAL MANAGEMENT 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
NAVIAN CAPITAL SECURITIES LLC
CRD#: 145037 / SEC#: , 8-67695
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
