Richard Cheng
Professional summary
Richard Cheng, who also goes by Yao Jen Cheng, is a registered financial professional currently at AUERBACH GRAYSON & COMPANY LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Cheng's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2021 - Present
AUERBACH GRAYSON & COMPANY LLC
Office #1: 20w 55th Street, New York, NY 10019June 17, 2015 - March 12, 2021
CCB INTERNATIONAL OVERSEAS (USA) INC.
September 11, 2012 - September 22, 2014
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/1/2023)
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(3/25/2021)
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
AUERBACH GRAYSON & COMPANY LLC
CRD#: 30761 / SEC#: , 8-45136
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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