JC
Jeffrey W. Chung
B. C. ZIEGLER AND COMPANY
New York, NY 10017
Some features on this profile are disabled
CRD#: 4582538
JC
Professional summary
Jeffrey W Chung, who also goes by Jeff Chung, Jeffrey Chung, is a registered financial professional currently at B. C. ZIEGLER AND COMPANY located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2002. Jeffrey has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeff Chung | Jeffrey 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 Jeffrey W 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
June 30, 2011 - Present
B. C. ZIEGLER AND COMPANY
Office #1: 2 Grand Central Tower 140 East 45th Street, Ste. 2200, New York, NY 10017BD
CRD#: 61
New York, NY
Past
May 24, 2010 - February 25, 2011
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
June 1, 2009 - May 26, 2010
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
October 22, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
California(6/30/2011)
RR
Colorado(6/30/2011)
RR
Connecticut(6/30/2011)
RR
Delaware(6/30/2011)
RR
Georgia(6/30/2011)
RR
Illinois(6/30/2011)
RR
Kansas(6/30/2011)
RR
Maryland(6/30/2011)
RR
Massachusetts(6/30/2011)
RR
Minnesota(6/30/2011)
RR
New Jersey(6/30/2011)
RR
New York(6/30/2011)
RR
North Carolina(6/30/2011)
RR
Pennsylvania(6/30/2011)
RR
Texas(6/30/2011)
RR
Washington(6/30/2011)
RR
Wisconsin(6/30/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/20/2002
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY | ZIEGLER WEALTH MANAGEMENT | ZIEGLER PRIVATE EQUITY | ZIEGLER INVESTMENT SERVICES GROUP | ZIEGLER CONSULTING SERVICE | ZIEGLER CAPITAL MARKETS | ZIEGLER | REACT GROUP
CRD#: 61 / SEC#: 801-19699, 8-94
BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606
Mailing Address
One North Wacker Drive, Suite 2000, Chicago, IL 60606
Phone number
(312) 263-0110
Established
Wisconsin since 02/12/1920
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
