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Detailed Report
BENJAMIN CHEUNG
BENJAMIN K CHEUNG
CRD#: 3079608
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Union, NJ
Registration History
1998200020022004200620082010201220142016201820202022202420263 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - Present (9 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2012 - 2014 (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - 2011 (3 years)BTD AMERITRADE, INC. (CRD# 7870)1999 - 2007 (8 years)BCONTINENTAL BROKER-DEALER CORP. (CRD# 14048)1998 - 1998 (<1 year)
License(s)

State Registrations

B
Arizona 8/30/2017
B
Nevada 11/13/2015
B
California 11/13/2015
B
New Hampshire 7/27/2023
B
Colorado 11/13/2015
B
New Jersey 11/3/2015
B
Connecticut 11/13/2015
IA
New Jersey 11/6/2015
B
Delaware 8/17/2017
B
New York 11/3/2015
B
District of Columbia 7/18/2019
IA
New York 8/17/2021
B
Florida 11/13/2015
B
North Carolina 1/14/2019
B
Georgia 3/22/2024
B
Ohio 2/2/2018
B
Hawaii 12/15/2020
B
Oregon 6/14/2023
B
Idaho 3/20/2018
B
Pennsylvania 11/13/2015
B
Illinois 7/18/2018
B
Rhode Island 11/10/2023
B
Indiana 8/25/2016
B
South Carolina 4/5/2016
B
Kansas 5/24/2022
B
South Dakota 8/29/2023
B
Maryland 11/25/2015
B
Tennessee 2/5/2021
B
Massachusetts 7/15/2022
B
Texas 1/25/2017
B
Michigan 6/19/2019
B
Virginia 9/26/2017
B
Minnesota 11/3/2017
B
Washington 1/2/2020

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Union, NJ
CWM Retail, Sales 120 Broadway, New York, NY 10271
Registered with this firm since 11/6/2015
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Union, NJ
CWM Retail, Sales 120 Broadway, New York, NY 10271
Registered with this firm since 11/3/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/26/2014 - 11/11/2015 TD AMERITRADE, INC. (CRD#:7870) SHORT HILLS, NJ
IA
 08/25/2014 - 11/11/2015 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) SHORT HILLS, NJ
B
 08/22/2014 - 11/11/2015 TD AMERITRADE, INC. (CRD#:7870) SHORT HILLS, NJ
B
 11/26/2012 - 09/09/2014 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WAYNE, NJ
B
 07/11/2008 - 07/15/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) JERSEY CITY, NJ
B
 01/04/1999 - 07/06/2007 TD AMERITRADE, INC. (CRD#:7870) JERSEY CITY, NJ
B
 09/21/1998 - 12/08/1998 CONTINENTAL BROKER-DEALER CORP. (CRD#:14048)
FINRA expelled the firm on 05/06/2004
CARLE PLACE, NY
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.