NS
Nancy M. Sun
CITCO SECURITIES
Toronto, Ontario, M5C 2B8
Some features on this profile are disabled
CRD#: 6450062
NS
Professional summary
Nancy Meng-han Sun is a registered financial professional currently at CITCO SECURITIES INC. .
Nancy is registered as a RR (Registered Representative) and started their career in finance in 2020. Nancy has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nancy Meng-han Sun's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 22, 2020 - Present
CITCO SECURITIES INC.
Office #1: 20 Toronto Street 10th Floor, Toronto, Ontario, M5C 2B8BD
CRD#: 153974
Toronto, Ontario,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(6/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITCO SECURITIES INC.
CITCO SECURITIES INC. | CITCO SECURITIES, INC.
CRD#: 153974 / SEC#: , 8-68601
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
20 Toronto Street 10th Floor, Toronto, Ontario, M5C 2B8
Mailing Address
151 Yonge Street 8th Floor, Toronto, Ontario, M5C 2W7
Phone number
(647) 260-6555
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITCO FINANCIAL PRODUCTS (LONDON) LIMITED | SHAREHOLDER | |
| CASE, SCOTT RUSSELL | CEO | 2579107 |
| CHIN, PHYLLIS NYUK FAH | FINOP/CFO | 6250921 |
| CULLINANE, JOHN REID | CHIEF COMPLIANCE OFFICER | 5003588 |
| IRAUSQUIN, RONALD FERDINAND | DIRECTOR | 6429179 |
| MISTRY, NITIN AMBUBHAI | DIRECTOR | 6961705 |
| QUÊME, NICOLAS MAURICE RAYMOND | DIRECTOR | 6865554 |
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.
