Travis S. Tung

CANTOR FITZGERALD & CO.

New York, NY 10022

Some features on this profile are disabled

CRD#: 7194519

Professional summary

Travis Sean-king Tung, who also goes by Travis Sean-king Tung, Travis Tung, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.

Travis is registered as a RR (Registered Representative) and started their career in finance in 2020. Travis has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Travis Sean-King Tung | Travis Tung

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) - BD

Click below to view Travis Sean-king Tung's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 2, 2023 - Present

CANTOR FITZGERALD & CO.

Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022

CRD#: 134

New York, NY

Past

January 13, 2022 - September 20, 2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

NEW YORK, NY

Past

June 12, 2020 - December 8, 2021

HEIGHT CAPITAL MARKETS

CRD#: 150659

Houston, TX

State Registrations and Notice Filings

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

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

New York
(10/2/2023)

Exams

State Security Law Exam

Series 63

Date: 6/26/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 6/12/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 1/22/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CANTOR FITZGERALD & CO.

CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

Broker-Dealer Firm Regulated by FINRA (New York 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

110 East 59th Street 4th Floor, New York, NY, 10022

Mailing Address

110 East 59th Street 4th Floor, New York, NY, 10022

Phone number

(212) 938-5000

Established

New York since 09/25/1992

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CFS CF & CO I HOLDINGS, L.P.	MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
BANDELIER, PASCAL DANIEL	CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES	4424051
CFLP CF&CO I HOLDINGS, L.P.	LIMITED PARTNER
KELLY, SAGE NOLAN	CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING	2528122
MERKEL, STEPHEN MARCUS	EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY	2366318
SALINAS, DANNY	CHIEF FINANCIAL OFFICER	6184109
SHIELDS, WILLIAM MICHAEL	CHIEF COMPLIANCE OFFICER	2380166
WALL, CHRISTIAN DOUGLAS	CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME	2751397

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Travis S. Tung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Travis Sean-king Tung's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

HEIGHT CAPITAL MARKETS

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/2020

Series 79TO

Date: 6/12/2020

SIE

Date: 1/22/2020

FINRA

Current Firm

CANTOR FITZGERALD & CO.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CANTOR FITZGERALD & CO.

TRUST BUT VERIFY

Similar Advisors