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Detailed Report
Wei Winnie Peng
WEI W PENG, WEI Winnie PENG, WEI PENG, WINNIE PENG
CRD#: 3273050
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Previous Investment Adviser
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Broker
The representative was previously registered as an investment adviser and currently as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
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Disclosures
16
Years of Experience
5
Firms
0
Licenses
Registration History
200820102012201420162018202020222024IATHE AYCO COMPANY, L.P. (CRD# 106693)2022 - 2024 (1 year)IAGOLDMAN SACHS PERSONAL FINANCI... (CRD# 134600)2022 - 2022 (<1 year)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2017 - 2022 (4 years)IAPNC INVESTMENTS (CRD# 129052)2014 - 2017 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2014 (6 years)
Previous Registration(s)
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 09/15/2022 - 06/27/2024 THE AYCO COMPANY, L.P. (CRD#:106693) New York, NY
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 06/16/2022 - 09/15/2022 GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT (CRD#:134600) Morristown, NJ
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 08/31/2017 - 06/10/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK, NY
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 07/17/2014 - 08/15/2017 PNC INVESTMENTS (CRD#:129052) PARAMUS, NJ
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 07/05/2007 - 06/20/2014 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHORT HILLS, NJ
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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.
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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.