PC
Pierre Y. Chung
TCBI SECURITIES
New York, NY 10017
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CRD#: 4463549
PC
Professional summary
Pierre Young Keun Chung, who also goes by Pierre Y. Chung, Pierre Young-keun Chung, is a registered financial professional currently at TCBI SECURITIES, INC. located in New York, New York.
Pierre is registered as a RR (Registered Representative) and started their career in finance in 2002. Pierre has worked at 6 firms and has passed the Series 63, Series 82TO, Series 22TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pierre Y. Chung | Pierre Young-Keun Chung
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 Pierre Young Keun Chung'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
December 19, 2023 - Present
TCBI SECURITIES, INC.
Office #1: 575 Fifth Avenue, New York, NY 10017BD
CRD#: 313304
New York, NY
Past
January 28, 2022 - November 17, 2023
ODEON CAPITAL GROUP LLC
BD
CRD#: 148493
NEW YORK, NY
Past
June 14, 2019 - January 19, 2022
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
August 30, 2017 - June 11, 2019
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
July 24, 2009 - September 24, 2012
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, NY
Past
January 18, 2002 - June 27, 2006
BLACKSTONE SECURITIES PARTNERS L.P.
BD
CRD#: 17917
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(12/20/2023)
RR
Alaska(1/3/2024)
RR
Arizona(12/21/2023)
RR
Arkansas(12/22/2023)
RR
California(12/20/2023)
RR
Colorado(12/20/2023)
RR
Connecticut(12/20/2023)
RR
Delaware(12/22/2023)
RR
District of Columbia(1/2/2024)
RR
Florida(12/20/2023)
RR
Georgia(12/20/2023)
RR
Hawaii(12/20/2023)
RR
Idaho(12/20/2023)
RR
Illinois(12/21/2023)
RR
Indiana(1/15/2024)
RR
Iowa(1/5/2024)
RR
Kansas(12/22/2023)
RR
Kentucky(12/20/2023)
RR
Louisiana(12/22/2023)
RR
Maine(12/21/2023)
RR
Maryland(1/4/2024)
RR
Massachusetts(12/20/2023)
RR
Michigan(12/21/2023)
RR
Minnesota(12/26/2023)
RR
Mississippi(12/21/2023)
RR
Missouri(12/20/2023)
RR
Montana(12/20/2023)
RR
Nebraska(12/20/2023)
RR
Nevada(12/26/2023)
RR
New Hampshire(1/12/2024)
RR
New Jersey(12/22/2023)
RR
New Mexico(12/20/2023)
RR
New York(12/20/2023)
RR
North Carolina(12/21/2023)
RR
North Dakota(12/26/2023)
RR
Ohio(12/19/2023)
RR
Oklahoma(12/21/2023)
RR
Oregon(12/22/2023)
RR
Pennsylvania(12/20/2023)
RR
Puerto Rico(1/9/2024)
RR
Rhode Island(12/20/2023)
RR
South Carolina(12/21/2023)
RR
South Dakota(12/20/2023)
RR
Tennessee(12/20/2023)
RR
Texas(12/20/2023)
RR
Utah(12/20/2023)
RR
Vermont(12/20/2023)
RR
Virgin Islands(1/4/2024)
RR
Virginia(12/20/2023)
RR
Washington(12/20/2023)
RR
West Virginia(1/8/2024)
RR
Wisconsin(12/19/2023)
RR
Wyoming(12/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 12/19/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 22TO
Date: 12/19/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/19/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
TCBI SECURITIES, INC.
TCBI SECURITIES | TEXAS CAPITAL SECURITIES | TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201
Mailing Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201
Phone number
(214) 932-6671
Established
Texas since 03/03/2021
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
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.
