Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hau ling? Claim Your ProfileHau Ling Cheng is an investment advisor representative at Citigroup Global Markets Inc. and has been in the industry for over 20 years. Hau Ling Cheng is registered in 53 states for broker-dealer activities. Hau Ling Cheng is also registered as an investment advisor representative in New York. In addition to Citigroup Global Markets Inc., Hau Ling Cheng has held previous positions at UBS FINANCIAL SERVICES INC., UBS INTERNATIONAL INC., E*TRADE SECURITIES LLC, TD AMERITRADE, INC., METLIFE SECURITIES INC., and METROPOLITAN LIFE INSURANCE COMPANY. Hau Ling Cheng has passed the Series 6, 7, 10, 4, 63, 66 and SIE 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (Scarsdale NY)
NY
01/01/2010 - 08/27/2014
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
05/02/2008 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
09/21/2006 - 04/29/2008
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NJ
11/24/2000 - 07/05/2006
TD AMERITRADE, INC. (JERSEY CITY NJ)
MA
11/06/1997 - 12/04/1998
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
11/06/1997 - 12/04/1998
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 8/18/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/22/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/14/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/19/2005
Series 4 - Registered Options Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/25/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/5/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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