Hinman Au
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.
Hinman Au was a registered financial advisor .
Hinman is a previously registered financial advisor and started their career in finance in 1992. Hinman had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2016 - December 24, 2025
MM GLOBAL SECURITIES, INC.
May 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
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)Current Firm
MM GLOBAL SECURITIES, INC.
CRD#: 2509 / SEC#: , 8-11988
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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