Sean Pong
Professional summary
Sean Pong was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Sean had worked at 7 firms, which includes ADVISORS ON CALL, U.S. BANCORP INVESTMENTS INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., WAMU INVESTMENTS INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, SUNPOINT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2022 - October 17, 2023
ADVISORS ON CALL
October 23, 2012 - September 3, 2021
U.S. BANCORP INVESTMENTS, INC.
October 19, 2012 - September 3, 2021
U.S. BANCORP INVESTMENTS, INC.
October 1, 2012 - October 17, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 17, 2012
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 23, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
May 1, 1998 - May 2, 2009
WAMU INVESTMENTS, INC.
June 8, 1995 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 12, 1993 - March 17, 1994
SUNPOINT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ADVISORS ON CALL
CRD#: 315319 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 251 |
| AUM (Assets Under Management) | $ 31,989,610 |
Red Flags
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