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Yim Chuen Cheng

Scotia Capital (usa) Inc.

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About Yim Chuen Cheng

Yim Cheng is a financial professional with over 30 years of experience in the industry. Cheng's career has spanned several prominent financial institutions, including Lehman Brothers Inc., Kidder, Peabody & Co. Incorporated, and Barclays Capital Inc. Cheng is currently registered with Scotia Capital (usa) Inc. and holds a variety of licenses including Series 3, 4, 7, 63, and 87. Cheng is dedicated to providing clients with comprehensive financial services and has a proven track record of success.

Firm Information

Yim Cheng is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

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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Yim Cheng’s Registration & Firm History

NY

06/20/2019 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

09/22/2008 - 07/05/2019

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

09/01/1994 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

04/18/1989 - 08/10/1994

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/26/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/12/1992

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/03/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/24/1990

Series 3 - National Commodity Futures Examination

BC

Issued 04/15/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Yim Chuen Cheng.
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