Stephen Y. Hung
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.
Stephen Yuan-sheng Hung, who also goes by Stephen Yuensheng Hung, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 5 firms and has passed the Series 63, SIE, Series 82, Series 79 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 4, 2016 - January 5, 2018
OCTAGON CAPITAL GROUP, LLC
June 7, 1999 - March 8, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1998 - April 1, 1999
BANC OF AMERICA SECURITIES LLC
April 7, 1995 - October 1, 1998
BANCAMERICA SECURITIES, INC.
April 20, 1994 - April 3, 1995
CONTINENTAL PARTNERS INC
State Registrations and Notice Filings
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Exams
Current Firm
OCTAGON CAPITAL GROUP, LLC
CRD#: 173341 / SEC#: , 8-69536
Contact information
Documents
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.
