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LAUREN Y CHEUNG
CRD#: 5083410
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 400 SPECTRUM CENTER DRIVE
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
11
Years of Experience
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State Registrations
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Alabama 4/7/2020
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Missouri 4/7/2020
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Alaska 8/6/2021
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Montana 4/7/2020
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Arizona 4/7/2020
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Nebraska 4/7/2020
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Arkansas 4/7/2020
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Nevada 4/7/2020
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California 9/21/2015
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New Hampshire 4/7/2020
IA
California 9/21/2015
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New Jersey 4/7/2020
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Colorado 4/7/2020
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New Mexico 4/7/2020
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Connecticut 4/7/2020
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New York 4/7/2020
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Delaware 4/7/2020
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North Carolina 4/7/2020
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District of Columbia 4/7/2020
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Ohio 4/7/2020
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Florida 4/7/2020
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Oklahoma 4/7/2020
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Georgia 4/7/2020
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Oregon 4/7/2020
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Hawaii 4/7/2020
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Pennsylvania 4/7/2020
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Idaho 4/7/2020
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South Carolina 4/7/2020
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Illinois 4/7/2020
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South Dakota 9/22/2023
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Indiana 4/7/2020
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Texas 4/7/2020
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Iowa 4/7/2020
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Texas 4/7/2020
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Kansas 4/7/2020
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Utah 4/7/2020
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Kentucky 4/7/2020
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Vermont 4/7/2020
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Maine 4/7/2020
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Virginia 4/7/2020
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Maryland 4/7/2020
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Washington 4/7/2020
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Massachusetts 12/22/2020
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West Virginia 8/6/2021
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Michigan 4/7/2020
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Wisconsin 4/7/2020
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Minnesota 4/7/2020
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Wyoming 4/7/2020
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Mississippi 8/6/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/21/2015
B
Registered with this firm since 9/10/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/08/2007 - 10/20/2008 | LAKE FOREST, CA | |
B | 07/31/2007 - 10/20/2008 | LAKE FOREST, CA | |
IA | 02/24/2007 - 08/16/2007 | LAGUNA NIGUEL, CA | |
B | 08/15/2006 - 08/16/2007 | LAGUNA NIGUEL, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.