Chi-chung A. Yu
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.
Chi-chung Allen Yu, who also goes by Allen Chi-chung Yu, Allenyu C Yu, was a registered financial professional .
Chi-chung is a previously registered financial professional and started their career in finance in 2007. Chi-chung had worked at 2 firms and has passed the Series 65, Series 63, Series 55 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
October 17, 2016 - May 3, 2017
SILVER SURFER CAPITAL MANAGEMENT, LLC
September 29, 2007 - May 28, 2009
COMMERZ MARKETS 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 55
Date: 5/1/2008
Limited Representative-Equity Trader ExamCurrent Firm
SILVER SURFER CAPITAL MANAGEMENT, LLC
CRD#: 284820 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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