Ninh D. 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.
Ninh Danh Chung was a registered financial professional .
Ninh is a previously registered financial professional and started their career in finance in 1998. Ninh had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2001 - June 19, 2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
July 29, 1998 - November 30, 2000
CITIGROUP GLOBAL MARKETS 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 8
Date: 1/29/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
CRD#: 46902 / SEC#: , 8-51582
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILICON VALLEY BANK | PARENT | |
| CASEY, BRENDAN WALL | DIRECTOR | 2794197 |
| CHEONG, AMY LAI MUI | CHIEF FINANCIAL OFFICER | 4654230 |
| HACKENBURG, KARA NICOLE | CHIEF COMPLIANCE OFFICER | 2675466 |
| HALL, DARCEY NOEL | ANTI-MONEY LAUNDERING OFFICER | 2599719 |
| HUSAIN, KAMRAN FOUAD | DIRECTOR | 5947865 |
| MATTERA, RICHARD JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2246513 |
| MOSS, LAURI LYNN | PRESIDENT, CEO, AND DIRECTOR | 1377807 |
| PIRACHA, AMENA | SECRETARY | |
| SABOW, DAVID MICHAEL | DIRECTOR | 5138501 |
| SCHNITZ, JEFFREY NAYLOR | DIRECTOR | 2659365 |
Red Flags
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