Amy L. Cheong
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.
Amy Lai Mui Cheong, who also goes by Amy Cheong, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2012. Amy had worked at 2 firms and has passed the SIE, Series 99TO, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2020 - March 15, 2021
SVB INVESTMENT SERVICES INC.
August 14, 2012 - June 18, 2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 6/22/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SVB INVESTMENT SERVICES INC.
CRD#: 168116 / SEC#: 801-78209, 8-70327
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,816 |
| AUM (Assets Under Management) | $ 1,465,036,204 |
Red Flags
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