Herbert H. Gong
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.
Herbert Hoychuen Gong, who also goes by Herbert Hoy Gong, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1992. Herbert had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 6, 2012 - November 2, 2015
CENTAURUS FINANCIAL, INC.
January 5, 2012 - November 2, 2015
CENTAURUS FINANCIAL, INC.
March 19, 2008 - December 16, 2011
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
February 21, 2008 - December 16, 2011
J.P. TURNER & COMPANY, L.L.C.
October 4, 2007 - February 25, 2008
QUESTAR ASSET MANAGEMENT, INC.
December 1, 2006 - February 25, 2008
QUESTAR CAPITAL CORPORATION
January 11, 2005 - June 16, 2006
USALLIANZ SECURITIES, INC.
April 7, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
November 1, 2000 - February 23, 2004
HORNOR, TOWNSEND & KENT, LLC
October 1, 1992 - November 1, 2000
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
