Clifford P. Cheng
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.
Clifford P Cheng was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 2016. Clifford had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2018 - November 13, 2019
CHEQUERS FINANCIAL MANAGEMENT LLC
May 9, 2016 - April 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2016 - April 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CHEQUERS FINANCIAL MANAGEMENT LLC
CRD#: 175209 / SEC#: 801-107158
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHEQUERS FINANCIAL MANAGEMENT LLC
CRD#: 175209 / SEC#: 801-107158
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,272 |
| AUM (Assets Under Management) | $ 1,050,177,472 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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