Vivian C. Sze
Professional summary
Vivian C Sze, who also goes by VIvian Ching-kay Sze, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
Vivian is registered as a RR (Registered Representative) and started their career in finance in 2015. Vivian has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vivian C Sze's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2021 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701December 17, 2019 - December 16, 2021
GOLDMAN SACHS & CO. LLC
October 20, 2015 - October 18, 2019
SANFORD C. BERNSTEIN & 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
(12/10/2021)
Exams
FINRA
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
Red Flags
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