Sokhandhi Ung
Professional summary
Sokhandhi Ung, who also goes by Sok Ung, Ung, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Sokhandhi is registered as a RR (Registered Representative) and started their career in finance in 2012. Sokhandhi has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sokhandhi Ung's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2021 - Present
TD SECURITIES (USA) LLC
Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017April 2, 2018 - February 9, 2021
RBC CAPITAL MARKETS, LLC
June 19, 2014 - March 15, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 12, 2012 - March 28, 2014
CRONUS PARTNERS 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
(4/12/2021)
Exams
FINRA
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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