Paul K. Leong
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.
Paul Kin Mun Leong, who also goes by Paul Kin Mun Leong, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2005. Paul had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE 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
December 4, 2018 - May 8, 2020
SERA GLOBAL SECURITIES US LLC
September 20, 2016 - August 2, 2018
KIMBERLITE ADVISORS, LLC
July 16, 2014 - August 25, 2016
MACQUARIE CAPITAL (USA) INC.
May 24, 2007 - March 31, 2014
BLACKSTONE SECURITIES PARTNERS L.P.
August 18, 2005 - May 9, 2007
DEUTSCHE BANK SECURITIES 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 7TO
Date: 3/1/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/1/2024
Investment Banking Registered Representative ExaminationCurrent Firm
SERA GLOBAL SECURITIES US LLC
CRD#: 283339 / SEC#: , 8-69752
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
