Hinman Au
Professional summary
Hinman Au is a registered financial advisor currently at MM GLOBAL SECURITIES, INC. located in New York, New York.
Hinman is registered as a RR (Registered Representative) and started their career in finance in 1992. Hinman has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 79, Series 7, Series 14, Series 28, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hinman Au's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2016 - Present
MM GLOBAL SECURITIES, INC.
Office #1: 575 Lexington Avenue Unit 12-111, New York, NY 10022Office #2: 575 Lexington Avenue Unit 12-111, New York, NY 10022May 20, 2016 - February 25, 2020
MULTIVISTA SECURITIES LLC
September 21, 2012 - July 22, 2016
MOMENTIX CAPITAL, INC.
May 30, 2006 - February 17, 2011
CETERA INVESTMENT SERVICES LLC
May 30, 2006 - February 17, 2011
CETERA INVESTMENT SERVICES LLC
June 17, 2004 - February 1, 2006
TD AMERITRADE, INC.
March 23, 1998 - February 1, 2006
TD AMERITRADE, INC.
April 22, 1996 - April 13, 1998
CHARLES SCHWAB & CO., INC.
September 26, 1995 - May 7, 1996
REPUBLIC FINANCIAL SERVICES CORPORATION
July 14, 1994 - September 27, 1995
ESSEX NATIONAL SECURITIES, LLC
June 24, 1992 - June 27, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 24, 1992 - June 27, 1994
EQUITABLE ADVISORS, 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
(9/8/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/23/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 11/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
FINRA
Current Firm
MM GLOBAL SECURITIES, INC.
CRD#: 2509 / SEC#: , 8-11988
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 4 |
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