Casey 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.
Casey S Cheung, who also goes by Casey Sing Cheung, Kwan Sing Cheung, Casey Kwan Scheung, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 1998. Casey had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 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
December 14, 2023 - July 17, 2024
J.P. MORGAN SECURITIES LLC
December 14, 2023 - July 17, 2024
J.P. MORGAN SECURITIES LLC
August 9, 2018 - May 22, 2023
RBC CAPITAL MARKETS, LLC
June 6, 2018 - May 22, 2023
RBC CAPITAL MARKETS, LLC
June 20, 2012 - December 15, 2014
OPPENHEIMER & CO. INC.
October 8, 2009 - January 22, 2010
FOOTHILL SECURITIES, INC.
October 8, 2009 - January 22, 2010
FOOTHILL SECURITIES, INC.
June 10, 2008 - July 2, 2009
RBC CAPITAL MARKETS, LLC
June 10, 2008 - July 2, 2009
RBC CAPITAL MARKETS, LLC
July 30, 2007 - December 21, 2007
A. G. EDWARDS & SONS, INC.
July 30, 2007 - December 21, 2007
A. G. EDWARDS & SONS, INC.
May 2, 2007 - July 24, 2007
MORGAN STANLEY & CO. LLC
May 2, 2007 - July 24, 2007
MORGAN STANLEY & CO. LLC
January 24, 2007 - March 1, 2007
RBC CAPITAL MARKETS, LLC
October 21, 2004 - March 1, 2007
RBC CAPITAL MARKETS, LLC
January 3, 2003 - June 9, 2004
OPPENHEIMER & CO. INC.
January 20, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 9, 1999 - January 10, 2000
WELLS FARGO SECURITIES, LLC
December 4, 1998 - April 5, 1999
CITIGROUP GLOBAL MARKETS INC.
August 20, 1998 - December 2, 1998
MORGAN STANLEY DEAN WITTER ONLINE INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
