CC
Cecilia Y. Chiang
FEF DISTRIBUTORS
New York, NY 10017
Some features on this profile are disabled
CRD#: 4260486
CC
Professional summary
Cecilia Y Chiang, who also goes by Cecilia Y. Chan, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Cecilia is registered as a RR (Registered Representative) and started their career in finance in 2000. Cecilia has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cecilia Y. Chan
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.
CRS (Client Relationship Summary) - BD
Click below to view Cecilia Y Chiang's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 4, 2023 - Present
FEF DISTRIBUTORS, LLC
Office #1: 280 Park Avenue 3rd Floor, New York, NY 10017BD
CRD#: 46585
New York, NY
Past
October 6, 2004 - June 6, 2007
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
May 1, 2001 - October 6, 2004
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
December 4, 2000 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/4/2023)
RR
Alaska(10/4/2023)
RR
Arizona(10/4/2023)
RR
Arkansas(10/4/2023)
RR
California(10/4/2023)
RR
Colorado(10/4/2023)
RR
Connecticut(10/4/2023)
RR
Delaware(10/4/2023)
RR
District of Columbia(10/4/2023)
RR
Florida(10/4/2023)
RR
Georgia(10/4/2023)
RR
Hawaii(10/4/2023)
RR
Idaho(10/4/2023)
RR
Illinois(10/4/2023)
RR
Indiana(10/4/2023)
RR
Iowa(10/4/2023)
RR
Kansas(10/4/2023)
RR
Kentucky(10/4/2023)
RR
Louisiana(10/4/2023)
RR
Maine(10/4/2023)
RR
Maryland(10/4/2023)
RR
Massachusetts(10/4/2023)
RR
Michigan(10/4/2023)
RR
Minnesota(10/4/2023)
RR
Mississippi(10/4/2023)
RR
Missouri(10/4/2023)
RR
Montana(10/4/2023)
RR
Nebraska(10/4/2023)
RR
Nevada(10/4/2023)
RR
New Hampshire(10/4/2023)
RR
New Jersey(10/4/2023)
RR
New Mexico(10/4/2023)
RR
New York(10/4/2023)
RR
North Carolina(10/4/2023)
RR
North Dakota(10/4/2023)
RR
Ohio(10/5/2023)
RR
Oklahoma(10/4/2023)
RR
Oregon(10/4/2023)
RR
Pennsylvania(10/4/2023)
RR
Puerto Rico(10/4/2023)
RR
Rhode Island(10/4/2023)
RR
South Carolina(10/4/2023)
RR
South Dakota(10/4/2023)
RR
Tennessee(10/4/2023)
RR
Texas(10/4/2023)
RR
Utah(10/4/2023)
RR
Vermont(10/4/2023)
RR
Virginia(10/4/2023)
RR
Washington(10/4/2023)
RR
West Virginia(10/4/2023)
RR
Wisconsin(10/4/2023)
RR
Wyoming(10/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
