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Seung Jae Chung

ROTHSCHILD & CO US
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 7739978
SC
Seung Jae ChungROTHSCHILD & CO US

Professional summary

Seung Jae Chung, who also goes by Seungjae Chung, Sj Chung, Seung Jae Chung, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in Santa Monica, California.

Seung Jae is registered as a RR (Registered Representative) and started their career in finance in 2023. Seung Jae has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Aliases

Seungjae Chung | Sj Chung | Seung Jae Chung

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

0

CRS (Client Relationship Summary) - BD

Click below to view Seung Jae Chung'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®
None

Experience

Current

December 15, 2025 - Present

ROTHSCHILD & CO US INC.

Office #1: 1299 Ocean Drive Suite 700, Santa Monica, CA 90401
BD
CRD#: 2910
Santa Monica, CA
Past

July 17, 2023 - November 20, 2025

MOELIS & COMPANY LLC

BD
CRD#: 145115
LOS ANGELES, CA

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
California
(12/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/17/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/31/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

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

Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ROTHSCHILD & CO NORTH AMERICA INC.DIRECT SHAREHOLDER
CARROLL, JOHN MURRAYDIRECTOR2605675
FELDMAN, TRACY JDIRECTOR2575503
LONDON, FRANK STEVENCHIEF COMPLIANCE OFFICER5861920
NEISSA, JAMES MANUELDIRECTOR2142240
SCHACKERT, CHRISTA MARYPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER4219093
SPELLER, MICHAEL CHARLESCHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR3105214

Disclosures

Regulatory Event1

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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Company Information

ROTHSCHILD & CO US INC.

CRD#: 2910Santa Monica, CA 90401

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