Allen J. Cha

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CRD#: 6502711

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.

Allen Jun-ho Cha was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 2016. Allen had worked at 2 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 10, 2017 - August 21, 2019

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

September 7, 2016 - November 1, 2017

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INSTINET, LLC

INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.

CRD#: 7897 / SEC#: 801-108490, 8-23669

RIA

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/16/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 12/1/2016

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 9/28/2016

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/7/2016

General Securities Representative Examination

Current Firm

INSTINET, LLC

INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.

CRD#: 7897 / SEC#: 801-108490, 8-23669

RIA

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

Mailing Address

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

Phone number

(212) 310-9500

Established

Delaware since 06/01/2006

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Medium

# of Employees

291

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 ILLC FORM ADV PART2A (6/20/2025)

Direct owners and executive officers

Name	Position	CRD#
INSTINET HOLDINGS INCORPORATED	DIRECT OWNER
CHIULLI, EUGENE JAMES	CHIEF FINANCIAL OFFICER	2976702
CONE, RANDI J	CHIEF COMPLIANCE OFFICER	4811453
KENNIFF, ALICE M	ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER)	5615714
MAURO, LUKE	HEAD OF OPERATIONS	4188932
MILLIGAN, GERARD THOMAS	PRESIDENT	2907544
SCHAFFNER, CHRISTY E	PRINCIPAL FINANCIAL OFFICER	2710171
SISKOVIC, JULIE MARIE	CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2)	1385048
WEBB, FARON ROSS	GENERAL COUNSEL	2452057

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Allen J. Cha

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUGGENHEIM SECURITIES, LLC

Primary Firm SEC Registration

INSTINET, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/2016

SIE

Date: 10/1/2018

Series 86

Date: 12/1/2016

Series 87

Date: 9/28/2016

Series 7

Date: 9/7/2016

Current Firm

INSTINET, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INSTINET, LLC

TRUST BUT VERIFY

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