Steven K. Hong
Professional summary
Steven Karl Hong, who also goes by Steve Hong, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Simi Valley, California and NYLIFE DISTRIBUTORS LLC located in San Diego, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Karl Hong's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2009 - Present
EAGLE STRATEGIES LLC
April 4, 2005 - Present
NYLIFE DISTRIBUTORS LLC
September 24, 2003 - April 20, 2005
NYLIFE SECURITIES LLC
October 5, 1994 - June 30, 1998
WM FUND SERVICES, INC.
February 23, 1994 - September 6, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/18/2019)
(4/4/2005)
(9/24/2009)
(8/19/2009)
(6/22/2023)
(6/6/2016)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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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