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Detailed Report
PHILIP KWON HOA CHENG
PHILIP K CHENG, PHILIP CHENG
CRD#: 4706535
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - 2023 (7 years)2 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BINTERSECURITIES, INC. (CRD# 16164)2003 - 2007 (3 years)
License(s)

State Registrations

B
California 10/12/2023
IA
Illinois 10/12/2023
IA
California 10/12/2023
B
Nevada 10/12/2023
B
Colorado 10/12/2023
IA
Nevada 10/12/2023
B
Florida 10/12/2023
B
New Jersey 10/12/2023
B
Hawaii 10/12/2023
B
Ohio 10/12/2023
B
Illinois 10/12/2023
B
Washington 10/12/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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
WELLS FARGO ADVISORS (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 10/12/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 10/12/2023
Previous Registration(s)
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IA
 07/19/2023 - 10/20/2023 LPL FINANCIAL LLC (CRD#:6413) PASADENA, CA
B
 07/19/2023 - 10/20/2023 LPL FINANCIAL LLC (CRD#:6413) PASADENA, CA
IA
 09/25/2015 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) PASADENA, CA
B
 09/24/2015 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) PASADENA, CA
IA
 03/05/2012 - 09/16/2015 SPC (CRD#:110692) CERRITOS, CA
B
 02/20/2012 - 09/16/2015 PARKLAND SECURITIES, LLC (CRD#:115368) CERRITOS, CA
B
 09/15/2003 - 05/07/2007 INTERSECURITIES, INC. (CRD#:16164) ANAHEIM, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.