Julian M. Cheng
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.
Julian Mowen Cheng, who also goes by Julian Mo-wen Cheng, was a registered financial professional .
Julian is a previously registered financial professional and started their career in finance in 2004. Julian had worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - September 20, 2021
INNOVATION CAPITAL, LLC
January 24, 2008 - December 15, 2014
RAYMOND JAMES & ASSOCIATES, INC.
November 22, 2004 - September 18, 2006
W.R. HAMBRECHT + CO., LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
INNOVATION CAPITAL, LLC
CRD#: 133551 / SEC#: , 8-66734
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
