Jeffrey S. Ku
Professional summary
Jeffrey Sen Hung Ku, who also goes by Jeff S Ku, Jeff Sen Hung Ku, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Sen Hung Ku's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2014 - Present
FIS BROKERAGE & SECURITIES SERVICES LLC
Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440February 11, 2008 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
September 27, 2006 - October 16, 2006
J.P. MORGAN SECURITIES INC.
August 27, 2004 - February 5, 2008
CHASE INVESTMENT SERVICES CORP.
March 24, 2003 - September 27, 2006
BANC ONE SECURITIES CORPORATION
May 9, 2000 - July 27, 2006
BANC ONE SECURITIES CORPORATION
June 16, 1998 - February 18, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/18/2025)
(1/2/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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