Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Sun is a securities professional with experience in the financial services industry. Barbara has held positions at HSBC Securities (USA) Inc. and is currently registered with Peak6 Capital Management LLC. Barbara has passed the Series 63, Series 57TO, SIE and Series 79TO exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
10/30/2020 - Present
Peak6 Capital Management LLC (New York NY)
NY
07/20/2019 - 08/28/2020
HSBC SECURITIES (USA) INC. (NEW YORK NY)
BC
Issued 07/19/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2020
Series 57TO - Securities Trader Exam
BC
Issued 07/20/2019
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/2019
Series 79TO - Investment Banking Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
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