Individual Firm
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Andy Koko Cheng
ANDY K CHENG, Andy Maung, Aung Maung
CRD#: 5471374
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 134 East Huntington Drive
Suite A
Arcadia, CA 91006
Suite A
Arcadia, CA 91006
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
California 11/10/2021
B
New York 6/25/2024
IA
California 11/10/2021
B
Ohio 6/26/2024
B
Indiana 6/25/2024
B
South Dakota 6/23/2023
B
Missouri 6/25/2024
B
Texas 3/26/2024
B
Nebraska 6/25/2024
B
Utah 6/25/2024
B
Nevada 4/12/2023
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/10/2021
B
Registered with this firm since 11/10/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/15/2021 - 10/20/2021 | City of Industry, CA | |
B | 01/15/2021 - 10/20/2021 | CITY OF INDUSTRY, CA | |
IA | 02/06/2017 - 01/11/2021 | PASADENA, CA | |
B | 02/06/2017 - 01/11/2021 | PASADENA, CA | |
IA | 02/06/2017 - 12/31/2020 | Pasadena, CA | |
IA | 05/29/2015 - 01/23/2017 | ARCADIA, CA | |
B | 04/16/2015 - 01/23/2017 | ARCADIA, CA | |
B | 11/12/2008 - 04/08/2015 | CERRITOS, 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.