Eddie S. Hong
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.
Eddie Shu - Wing Hong, who also goes by Eddie Shuwing Hong, was a registered financial professional .
Eddie is a previously registered financial professional and started their career in finance in 2002. Eddie had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - June 1, 2022
NPB FINANCIAL GROUP, LLC
January 2, 2018 - June 1, 2022
NPB FINANCIAL GROUP, LLC
February 28, 2012 - December 31, 2017
CETERA ADVISORS LLC
February 28, 2012 - December 31, 2017
CETERA ADVISORS LLC
August 20, 2009 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
August 20, 2009 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
December 23, 2008 - August 25, 2009
ASSOCIATED SECURITIES CORP.
December 19, 2008 - August 25, 2009
ASSOCIATED SECURITIES CORP.
December 15, 2005 - December 19, 2008
FSC SECURITIES CORPORATION
December 15, 2005 - December 19, 2008
FSC SECURITIES CORPORATION
November 14, 2005 - December 14, 2005
INDEPENDENT FINANCIAL GROUP, LLC
November 11, 2005 - December 14, 2005
INDEPENDENT FINANCIAL GROUP, LLC
October 7, 2003 - November 14, 2005
FSC SECURITIES CORPORATION
July 15, 2003 - November 14, 2005
FSC SECURITIES CORPORATION
July 23, 2002 - July 7, 2003
WORLD GROUP SECURITIES, INC.
March 4, 2002 - July 9, 2002
IDS LIFE INSURANCE COMPANY
March 4, 2002 - July 9, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
