Eric Brian Cheng
Professional Summary
Eric Brian Cheng is a registered financial advisor currently at MAXIM GROUP LLC located in New York, New York. Eric is registered as a RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC
Contact Information
Main Address
300 Park Ave 16th Floor, New York, NY 10022Mailing Address
300 Park Ave 16th Floor, New York, NY 10022Phone Number
(212) 895-3500Established
New York since 04/11/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | — |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
Regulatory Event
37Arbitration
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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.
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State Registrations and Notice Filings
(3/30/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Nov 2023About the Series 79TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eric Brian Cheng's CRS (Customer Relationship Summary).
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