Barry Y. Cheng
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.
Barry Y Cheng was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1997. Barry had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2011 - February 1, 2013
LEGEND TRADING, LLC
May 11, 2007 - August 1, 2007
TAFFERER TRADING, LLC
March 3, 2003 - June 7, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
July 12, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
August 8, 2001 - September 18, 2002
WORLDCO, L.L.C.
December 8, 1997 - June 28, 2001
WORLDCO, L.L.C.
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 55
Date: 4/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
LEGEND TRADING, LLC
CRD#: 150567 / SEC#: , 8-68269
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
