Richard H. Cheong
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.
Richard Hon Hin Cheong, who also goes by Richard How Hin Cheong, Richard Howhin Cheong, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 9 firms and has passed the Series 65, SIE, Series 3, Series 15 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
February 27, 1996 - December 27, 2016
CAMDEN FINANCIAL SERVICES
October 5, 1993 - February 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 19, 1992 - December 31, 1993
MARINER FINANCIAL SERVICES, INC.
May 28, 1991 - December 16, 1991
TOLUCA PACIFIC SECURITIES CORP.
September 4, 1990 - July 19, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 25, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 31, 1984 - June 28, 1988
WEDBUSH SECURITIES INC.
January 31, 1980 - June 19, 1984
UBS FINANCIAL SERVICES INC.
February 1, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
Series 15
Date: 2/24/1983
Foreign Currency Options ExaminationCurrent Firm
CAMDEN FINANCIAL SERVICES
CRD#: 19925 / SEC#: , 8-37303
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UCCIFERRI, LOUIE | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, AML-CO | 1156956 |
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.
