Eun-joo Chung
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.
Eun-joo Chung, who also goes by Eun Joo Chang, Eun-joo Chang, Eunjoo Chang, Eun-joo Chung, Eunjoo Chung, was a registered financial professional .
Eun-joo is a previously registered financial professional and started their career in finance in 1997. Eun-joo had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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 5, 2018 - June 30, 2021
FIRST LIBERTIES FINANCIAL
February 19, 2015 - April 19, 2017
STRATEGIC ADVISERS LLC
January 23, 2015 - April 19, 2017
FIDELITY BROKERAGE SERVICES LLC
June 11, 2014 - January 8, 2015
U.S. BANCORP ADVISORS, LLC
June 11, 2014 - January 8, 2015
U.S. BANCORP ADVISORS, LLC
October 6, 2011 - June 25, 2014
VALIC FINANCIAL ADVISORS, INC.
October 6, 2011 - June 25, 2014
VALIC FINANCIAL ADVISORS, INC.
May 19, 2011 - October 4, 2011
EAGLE STRATEGIES LLC
April 29, 2011 - October 4, 2011
NYLIFE SECURITIES LLC
February 23, 2010 - April 18, 2011
VALIC FINANCIAL ADVISORS, INC.
February 18, 2010 - April 18, 2011
VALIC FINANCIAL ADVISORS, INC.
January 23, 2009 - November 27, 2009
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - November 27, 2009
SECURITIES AMERICA, INC.
November 1, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
October 30, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
June 14, 2005 - June 11, 2007
WELLS FARGO INVESTMENTS, LLC
June 14, 2005 - June 11, 2007
WELLS FARGO INVESTMENTS, LLC
March 10, 2003 - June 7, 2005
WAMU INVESTMENTS, INC.
July 8, 1997 - March 10, 2003
UBS FINANCIAL SERVICES INC.
June 13, 1997 - March 10, 2003
UBS FINANCIAL SERVICES 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 7TO
Date: 10/6/2022
General Securities Representative ExaminationCurrent Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
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.
