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Information

Other Names: Chiou-Pying Chu, Chioupying Cheng
Firm:
Type: Dual Registration
Description

Chiou-Pying Cheng is a financial professional at Prudential Financial Planning Services, a broker-dealer with over 5,100 registered representatives nationwide. Chiou-Pying has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Chiou-Pying Cheng has not answered any questions on Financial Q&A.

Top Guides

Chiou-Pying Cheng has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Pruco Securities, LLC. 8 years, 2 months Feb 2006 - Present
The Prudential Insurance Company of America 8 years, 2 months Feb 2006 - Present
WFG 1 year, 4 months Oct 2004 - Feb 2006
Girl Scout 3 years, 5 months Sep 2002 - Feb 2006
MCLC 13 years, 7 months Sep 2000 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/01/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/01/2011
11/25/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 06/02/2008
Investment Company Products/Variable Contracts Principal Examination Series 26 01/14/2008
Uniform Securities Agent State Law Examination Series 63 10/21/2005
Investment Company Products/Variable Contracts Representative Examination Series 6 06/07/2005

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees