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EC

Ellen Cheng

ACE DIVERSIFIED CAPITAL
San Gabriel, CA 91776
Some features on this profile are disabled
CRD#: 2898289
EC

Professional summary

Ellen Cheng, who also goes by Ellen Cheng Yau, is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in San Gabriel, California.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 1998. Ellen has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ellen Cheng Yau

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 Ellen Cheng's CRS (Customer Relationship Summary).
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

February 9, 2018 - Present

ACE DIVERSIFIED CAPITAL, INC.

Office #1: 923 East Valley Blvd., Suite 213, San Gabriel, CA 91776
BD
CRD#: 41768
San Gabriel, CA
Past

November 26, 2013 - September 1, 2016

SINGPOLI WEALTH MANAGEMENT LLC

BD
CRD#: 137889
ARCADIA, CA
Past

August 23, 2010 - December 31, 2011

KEY WEST INVESTMENTS, LLC

RIA
CRD#: 149418
ALHAMBRA, CA
Past

January 7, 2010 - December 31, 2011

KEY WEST INVESTMENTS, LLC

BD
CRD#: 149418
ALHAMBRA, CA
Past

July 17, 2008 - February 4, 2009

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

September 27, 2006 - July 8, 2008

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

June 30, 2005 - November 2, 2006

E*TRADE SECURITIES LLC

BD
CRD#: 29106
ALHAMBRA, CA
Past

April 6, 2005 - April 8, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MONTEREY PARK, CA
Past

December 10, 2004 - July 7, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

March 30, 2004 - November 8, 2004

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
ALHAMBRA, CA
Past

March 30, 2004 - November 8, 2004

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

April 11, 2002 - April 22, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MONTEREY PARK, CA
Past

March 26, 2002 - April 22, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

December 17, 1998 - March 27, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 6, 1998 - December 7, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 6, 1998 - December 7, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
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

RR
California
(2/9/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/30/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 12/24/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/3/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ACE DIVERSIFIED CAPITAL, INC.
ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768 / SEC#: , 8-49555

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Mailing Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Phone number
(626) 307-8300
Established
California since 07/31/1996
Firm type
Corporation
Fiscal year end
July
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JEN, LYNNWOODCEO, CCO2198343
JEN, LYNNWOODPFO, POO2198343
TIEN, SHYUEWEN GEORGEFINOP, CFO1941281

Disclosures

Regulatory Event2

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.

Company Information

ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768San Gabriel, CA 91776

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