Sammy K. Sung

ALE LLC

Pleasant Hill, CA 94523

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CRD#: 2482869

Professional summary

Sammy Kuo Chiang Sung is a registered financial advisor currently at ALE LLC located in Pleasant Hill, California.

Sammy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Sammy has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. SAMMY SUNG TRUSTEE U/W SHIH SHEN BETTY LEE SUNG 1997 IRREV TRUST, 1060 WINDJAMMER CIR.,FOSTER CITY, CA 94404, TRUSTEE FOR MOTHER'S TRUST, INVESTMENT RELATED, NO TIME INVOLVED, START 1997. 2.RENTAL PROPERTY; NOT INVESTMENT RELATED; 4 BEACON WAY #1203 JERSEY CITY, NJ 07306; RENTAL; CO-OWNER; START DATE 11/2009; 0 HRS MONTH / 0 HRS DURING TRADING. 3.RENTAL PROPERTY; JTWROS JOINT WITH SPOUSE, NOT INVESTMENT RELATED; 1212 RAVENS CREST PLAINSBORO, NJ 08536, START DATE 3/2012; 1 HR PER MONTH / 0 HRS DURING TRADING. 4.RENTAL PROPERTY, 200 W. SAHARA AVE #706 LAS VEGAS,NV 89102; JTWROS JOINT WITH SPOUSE, NOT INVESTMENT RELATED, 1 HOUR/WEEK 5. EXIT EXCEL REALTY, FRANCHISE, START: 02/2014, 1361 EL CAMINO REAL, MILLBRAE, CA 94030, REAL ESTATE BROKERAGE, AGENT, INVESTMENT RELATED, 80 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 6.EXIT REALTY TEAM, FRANCHISE, START: 05/2015 45-66 162ND ST FLUSHING, NY 11358, REAL ESTATE BROKERAGE, AGENT, INVESTMENT RELATED, 80 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 7.ALE LLC: INVESTMENT ADVISOR, INVESTMENT RELATED, 40 HOURS PER WEEK, 8 HOURS PER DAY DURING TRADING HOURS. 8. SUNG FAMILY REV TRUST - PROPERTY MANAGER; COMPENSATION THROUGH FEES; COLLECT RENT & MANAGE PROPERTIES; 10-15 HOURS PER WEEK 9. 6466 HOLLIS STREET, UNIT 228 EMERYVILLE, CA 94608; COLLECTS RENT AND MANAGES PROPERTY;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammy Kuo Chiang Sung's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 16, 2015 - Present

ALE LLC

Office #1: 3478 Buskirk Avenue Suite 1000, Pleasant Hill, CA 94523

RIA

CRD#: 281237

Pleasant Hill, CA

Past

November 17, 2015 - December 31, 2023

CHELSEA FINANCIAL SERVICES

CRD#: 47770

Pleasant Hill, CA

Past

July 1, 2013 - July 8, 2013

MUTUAL ADVISORS, LLC

RIA

CRD#: 167658

CASPER, WY

Past

January 15, 2013 - July 2, 2013

MUTUAL SECURITIES, INC.

RIA

CRD#: 13092

SAN BRUNO, CA

Past

October 29, 2012 - November 27, 2015

POPLAR GLOBAL WEALTH MANAGEMENT LLC

RIA

CRD#: 165532

DALY CITY, CA

Past

October 25, 2012 - April 29, 2015

MUTUAL SECURITIES, INC.

CRD#: 13092

SAN BRUNO, CA

Past

June 6, 2008 - September 4, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

June 5, 2008 - September 4, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

December 19, 2003 - June 20, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

November 26, 2003 - June 20, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

April 25, 1995 - September 14, 1996

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, CA

Past

August 24, 1994 - February 27, 1995

EAST/WEST SECURITIES CO.

CRD#: 10038

SAN FRANCISCO, CA

Past

June 2, 1994 - July 26, 1994

M.ONE INVESTMENT SECURITIES, INC.

CRD#: 26267

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/16/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/17/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/5/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2013

General Securities Principal Examination

Current Firm

ALE LLC

ALE ADVISORS LLC | ALE LLC

CRD#: 281237 / SEC#:

California

Registered Investment Advisory firm - (10/16/2015 Approved)

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Contact information

Main Address

3478 Buskirk Avenue Suite 1000, Pleasant Hill, CA 94523

Mailing Address

Phone number

(650) 315-8695

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 8,972,403

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Sammy K. Sung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammy Kuo Chiang Sung's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHELSEA FINANCIAL SERVICES

MUTUAL ADVISORS, LLC

MUTUAL SECURITIES, INC.

POPLAR GLOBAL WEALTH MANAGEMENT LLC

MUTUAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ACUMENT SECURITIES, INC.

EAST/WEST SECURITIES CO.

M.ONE INVESTMENT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2003

Series 63

Date: 6/16/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/24/2003

Series 9

Date: 8/17/2013

Series 10

Date: 7/5/2013

Series 24

Date: 4/17/2013

Current Firm

ALE LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALE LLC

TRUST BUT VERIFY

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