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Stephen Alan Cheng

Barclays Capital Inc.

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About Stephen Alan Cheng

Stephen Cheng is a financial professional with over 25 years of experience in the industry. Stephen is currently registered with Barclays Capital Inc. and is a Series 7, Series 99TO and SIE licensed representative. Stephen has held previous positions with firms such as J.P. Morgan Securities LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., Morgan Stanley DW Inc. and Donaldson, Lufkin & Jenrette Securities Corporation.

Firm Information

Stephen Cheng is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Stephen Cheng’s Registration & Firm History

NY

03/02/2023 - Present

Barclays Capital Inc. (NEW YORK NY)

NJ

08/09/2018 - 02/24/2023

J.P. MORGAN SECURITIES LLC (Jersey City NJ)

NY

12/18/2013 - 04/12/2018

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

11/27/2006 - 08/27/2013

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

04/11/2006 - 12/01/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

07/10/2000 - 03/20/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

NJ

08/18/1997 - 07/13/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

L

Long-Term Stock Exchange, Inc.

M

MEMX 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

Disclosures

There are no public disclosures for Stephen Alan Cheng.
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