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JC

Jenise Chung

THREE OCEAN SECURITIES LLC
NEW YORK, NY 10176
Some features on this profile are disabled
CRD#: 7740768
JC

Professional summary

Jenise Chung is a registered financial professional currently at THREE OCEAN SECURITIES LLC located in New York, New York.

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

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jenise 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

February 4, 2025 - Present

THREE OCEAN SECURITIES LLC

Office #1: 551 Fifth Avenue Suite 3800, New York, NY 10176
BD
CRD#: 166387
NEW YORK, NY
Past

August 28, 2023 - January 9, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
(2/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/28/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TO
THREE OCEAN SECURITIES LLC
THREE OCEAN PARTNERS ADVISORS LLC | THREE OCEAN SECURITIES LLC

CRD#: 166387 / SEC#: , 8-69203

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

Main Address
551 Fifth Avenue, Suite 3800, New York, NY 10176
Mailing Address
551 Fifth Avenue, Suite 3800, New York, NY 10176
Phone number
(212) 259-0559
Established
Delaware since 07/22/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THREE OCEAN PARTNERS LLCSOLE MEMBER
KNOWLTON, DAVID WILLIAMCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2316310
SCHAPS, MICHAEL ROBERTCFO, FINOP, PFO, POO1892138

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.

Company Information

THREE OCEAN SECURITIES LLC

CRD#: 166387New York, NY 10176

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