Wayne Leung
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.
Wayne Leung, who also goes by Wai Kit Leung, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2005. Wayne had worked at 4 firms and has passed the Series 63, SIE, Series 79 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
April 4, 2016 - June 8, 2016
MONARCH CAPITAL GROUP, LLC
July 30, 2015 - April 14, 2016
HALEN CAPITAL
June 9, 2010 - July 7, 2015
DOMINICK & DICKERMAN LLC
October 26, 2005 - July 15, 2008
SPARRING PARTNERS CAPITAL 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
Current Firm
MONARCH CAPITAL GROUP, LLC
CRD#: 47815 / SEC#: , 8-51911
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONARCH HOLDINGS, LLC | MANAGEMENT COMPANY | |
| COHEN, EDWARD BARRY | FINOP | |
| POTTER, MICHAEL DAVID | CHAIRMAN, CEO, CFO, CCO | 2417023 |
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.
