William E. Hong

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CRD#: 1373685

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Eng Hong, who also goes by William E Hong, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1986. William had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William E Hong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 30, 2015 - October 6, 2015

VLS SECURITIES LLC

CRD#: 151145

DARIEN, CT

Past

April 28, 2008 - July 25, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 29, 2005 - March 7, 2006

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 2, 2000 - August 23, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 12, 2000 - October 4, 2000

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 22, 1998 - March 23, 2000

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270

PHILADELPHIA, PA

Past

November 7, 1995 - September 26, 1996

NEBRASKA HUDSON COMPANY, INC.

CRD#: 27501

OMAHA, NE

Past

June 30, 1994 - October 10, 1995

MURIEL SIEBERT & CO., LLC

CRD#: 5376

NEW YORK, NY

Past

March 14, 1994 - June 30, 1994

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

NEW YORK, NY

Past

November 25, 1991 - March 14, 1994

MURIEL SIEBERT & CO., LLC

CRD#: 5376

NEW YORK, NY

Past

October 27, 1987 - November 22, 1991

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

September 23, 1986 - July 17, 1987

ROSE & COMPANY INVESTMENT BROKERS, INC.

CRD#: 6132

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/11/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/6/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/1/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/9/2002

Registered Options Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/30/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/1/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/1996

General Securities Principal Examination

Current Firm

VLS SECURITIES LLC

VELOCITYSHARES | VLS SECURITIES LLC

CRD#: 151145 / SEC#: , 8-68343

Terminated by SEC on 01/09/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/04/2009

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
JANUS INDEX & CALCULATION SERVICES LLC (FKA VELOCITYSHARES LLC)	OWNER
HOGE, RICHARD CHARLES	HEAD OF OPERATIONS, CHIEF COMPLIANCE OFFICER	4790638
HUGHES, BRENNAN A	FINOP	4934194
QUINN, STEVEN PAUL	HEAD OF ETP DISTRIBUTION	4254443

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

William E. Hong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES LLC

NASDAQ EXECUTION SERVICES, LLC

NEBRASKA HUDSON COMPANY, INC.

MURIEL SIEBERT & CO., LLC

HERZOG, HEINE, GEDULD, LLC

MURIEL SIEBERT & CO., LLC

BROWNCO, LLC

ROSE & COMPANY INVESTMENT BROKERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/2010

SIE

Date: 10/6/2015

Series 55

Date: 2/1/1999

Series 7

Date: 8/16/1986

Series 4

Date: 5/9/2002

Series 10

Date: 4/30/2002

Series 9

Date: 4/1/2002

Series 24

Date: 7/19/1996

Current Firm

VLS SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VLS SECURITIES LLC

TRUST BUT VERIFY

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