Cheng Shao
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.
Cheng Shao was a registered financial professional .
Cheng is a previously registered financial professional and started their career in finance in 2009. Cheng had worked at 2 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2012 - October 17, 2016
CITIC SECURITIES INTERNATIONAL USA, LLC
March 23, 2009 - August 28, 2009
ACCESS SECURITIES, 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: 4/29/2009
Limited Representative-Equity Trader ExamCurrent Firm
CITIC SECURITIES INTERNATIONAL USA, LLC
CRD#: 158266 / SEC#: , 8-68887
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
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.
