Kai Leung Cheung

PENSION MAXIMA INVESTMENT ADVISORY

White Plains, NY

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CRD#: 4484838

Professional summary

Kai Leung Cheung, who also goes by Kai Leung Cheung, is a registered financial advisor currently at PENSION MAXIMA INVESTMENT ADVISORY, INC. located in White Plains, New York.

Kai Leung is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kai Leung has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kai Leung Cheung

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.

SAND HILL REAL ESTATE AND INVESTMENT, INC., ASSOCIATE BROKER: MORTGAGE LOAN ORIGINATION. 30 HOURS PER WEEK. NON INVESTMENT RELATED MANPHIL MORTGAGE & REALTY, BROKER: REALTOR/BROKER 20 HOURS PER WEEK. NON INVESTMENT RELATED. INSURANCE AGENT; INSURANCE SALES 20 HOURS PER MONTH. INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kai Leung Cheung'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®

None

Experience

Current

June 19, 2014 - Present

PENSION MAXIMA INVESTMENT ADVISORY, INC.

RIA

CRD#: 144858

White Plains, NY

Past

December 5, 2005 - January 9, 2007

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

EL MONTE, CA

Past

January 16, 2003 - October 29, 2003

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

January 16, 2002 - August 27, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/19/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/14/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/2002

General Securities Representative Examination

Current Firm

PENSION MAXIMA INVESTMENT ADVISORY, INC.

CRD#: 144858 / SEC#: 801-68370

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

California

Registered Investment Advisory firm - (5/18/2012 Approved)

New York

Registered Investment Advisory firm - (6/6/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

White Plains, NY

Mailing Address

Phone number

(914) 574-5023

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 32,112,326

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.

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Firm Stability Insights

Kai Leung Cheung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kai Leung Cheung's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSION MAXIMA INVESTMENT ADVISORY, INC.

QUEST CAPITAL STRATEGIES, INC.

MONY SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2002

Series 7

Date: 1/15/2002

Current Firm

PENSION MAXIMA INVESTMENT ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENSION MAXIMA INVESTMENT ADVISORY, INC.

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