Sunny M. Ikwue
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.
Sunny Michael Ikwue, who also goes by Michael Ikwue, Sunny Ikwue, was a registered financial professional .
Sunny is a previously registered financial professional and started their career in finance in 1999. Sunny had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2003 - December 4, 2003
DELTA ASSET MANAGEMENT COMPANY, LLC
November 28, 2001 - August 23, 2002
NATIONAL SECURITIES CORPORATION
May 16, 2001 - November 13, 2001
BLUESTONE CAPITAL CORP.
March 20, 2001 - April 24, 2001
PRIME CHARTER LTD.
January 18, 2001 - March 26, 2001
PARK CAPITAL SECURITIES, LLC
June 1, 1999 - December 22, 2000
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
DELTA ASSET MANAGEMENT COMPANY, LLC
CRD#: 39923 / SEC#: , 8-48888
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
