Oliver Y. Sung

CBOE TRADING

OVERLAND PARK, KS 66211

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CRD#: 2977217

Professional summary

Oliver Yon Sung is a registered financial professional currently at CBOE TRADING, INC. located in Overland Park, Kansas.

Oliver is registered as a RR (Registered Representative) and started their career in finance in 2005. Oliver has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

July 22, 2021 - Present

CBOE TRADING, INC.

Office #1: 6800 West 115th Street Suite 260, Overland Park, KS 66211

CRD#: 136734

OVERLAND PARK, KS

Past

October 27, 2017 - July 2, 2021

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

September 3, 2014 - July 21, 2020

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NY, NY

Past

July 3, 2008 - August 29, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 6, 2007 - June 12, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 25, 2006 - June 7, 2007

UBS SECURITIES LLC

CRD#: 7654

JERSEY CITY, NJ

Past

August 26, 2005 - February 9, 2006

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/20/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/4/2009

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CBOE TRADING, INC.

BATS TRADING, INC. | CBOE TRADING, INC.

CRD#: 136734 / SEC#: , 8-67043

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

6800 West 115th Street Suite 260, Overland Park, KS 66211

Mailing Address

6800 West 115th Street Suite 260, Overland Park, KS 66211

Phone number

(913) 815-7000

Established

Delaware since 06/16/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CBOE SERVICES COMPANY	OWNER
CHMIELEWSKI, COLE MICHAEL	PRESIDENT	5740206
GOODMAN, SYDNEY LINDEN	FINOP	7092589
ISAACSON, CHRISTOPHER ANDREW	DIRECTOR	5015729
SEXTON, JOHN PATRICK	SECRETARY	7152089
UPP, WILLIAM BRYAN	CHIEF COMPLIANCE OFFICER	2976682
WILKINSON, ALLEN LLOYD	VICE PRESIDENT	7432624
YEAZEL, TROY CHARLES	DIRECTOR	5492474

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Oliver Y. Sung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Oliver Yon Sung's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

COWEN EXECUTION SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

UBS SECURITIES LLC

UBS CAPITAL MARKETS L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2005

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2005

Series 24

Date: 12/4/2009

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CBOE TRADING, INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CBOE TRADING, INC.

TRUST BUT VERIFY

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