Hong Y. Sun
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.
Hong Yi Sun was a registered financial professional .
Hong is a previously registered financial professional and started their career in finance in 1992. Hong had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 6, Series 27, Series 4 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 26, 2000 - August 3, 2001
STOCK USA, INC.
October 19, 1999 - February 16, 2000
MILESTONE FINANCIAL SERVICES, INC.
November 4, 1997 - November 15, 1999
BESTRADE INC.
June 5, 1997 - March 20, 1998
AMERIVET SECURITIES, INC.
November 22, 1995 - April 16, 1997
E-W INVESTMENTS, INC.
June 7, 1994 - March 6, 1995
FASCO INTERNATIONAL, INC.
January 27, 1994 - May 9, 1994
FM PACIFIC CAPITAL MANAGEMENT, INC.
November 25, 1992 - February 8, 1993
PRUCO SECURITIES, 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 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
STOCK USA, INC.
CRD#: 40687 / SEC#: , 8-49138
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANN, RALPH OLIVER | PRESIDENT AND CEO | 1714858 |
| ALLISON, JOHN DAVID | DIRECTOR | |
| HARRELL, DANIEL PARKER | SHAREHOLDER | |
| VINSON, DENNIS RUDOLPH | SHAREHOLDER AND DIRECTOR | |
| BALLANTYNE, DON LINDSAY | SHAREHOLDER | |
| LEMPERLE, JOHN JAMES | DIRECTOR AND SHAREHOLDER | |
| MALSBARY, RICHARD A | DIRECTOR AND SHAREHOLDER | |
| MURREL, THOMAS W | SHAREHOLDER AND DIRECTOR | |
| WALTON, LAWRENCE LEE | DIRECTOR AND SHAREHOLDER |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
