Kristopher R. Tung

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CRD#: 2515604

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.

Kristopher Robert Tung was a registered financial professional .

Kristopher is a previously registered financial professional and started their career in finance in 1994. Kristopher had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 16, 2015 - November 28, 2018

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

New York, NY

Past

November 5, 2012 - October 30, 2015

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

MELVILLE, NY

Past

May 31, 2012 - October 8, 2012

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

MELVILLE, NY

Past

December 22, 2010 - May 31, 2012

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

MELVILLE, NY

Past

April 22, 2009 - December 31, 2010

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

GARDEN CITY, NY

Past

May 10, 2007 - June 2, 2009

CLARK DODGE & CO., INC.

CRD#: 23288

GARDEN CITY, NY

Past

January 12, 2006 - May 11, 2007

WORLD EQUITY GROUP, INC.

CRD#: 29087

GARDEN CITY, NY

Past

June 14, 2005 - January 6, 2006

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

February 24, 2004 - March 17, 2005

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

August 11, 1994 - January 29, 2004

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1994

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: 8/10/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/23/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1995

General Securities Principal Examination

Current Firm

AXIOM CAPITAL MANAGEMENT, INC.

AXIOM CAPITAL MANAGEMENT, INC. | DLM HOLDINGS INC.

CRD#: 26580 / SEC#: , 8-42638

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

350 Fifth Avenue Suite 6740, New York, NY 10118

Mailing Address

350 Fifth Avenue Suite 6740, New York, NY 10118

Phone number

(212) 521-3800

Established

Delaware since 04/12/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DALTON, LIAM FRANCIS	CEO/PRESIDENT	1327801
DICHIARA, MARIA	DIRECTOR OF OPERATIONS/EXECUTIVE VP	1751312
MILLER, ERIC LEE	CCO/CROP/ROSFP/ROP/MUNICIPAL PRINCIPAL	2200698
RICHARD, NEAL MICHAEL	HEAD TRADER	2601802
WRIGHT, DAVID CHARLES	FINOP	6023564

Disclosures

Regulatory Event	11
Civil Event	1
Arbitration	3

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.

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Advisor Monitoring

Firm Stability Insights

Kristopher R. Tung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROCKWELL GLOBAL CAPITAL LLC

B.B. GRAHAM & COMPANY, INC.

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

GLOBAL ARENA CAPITAL CORP

CLARK DODGE & CO., INC.

WORLD EQUITY GROUP, INC.

ANDREW GARRETT INC.

NATIONAL SECURITIES CORPORATION

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/2000

Series 63

Date: 8/15/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/10/1994

Series 4

Date: 8/23/2000

Series 24

Date: 12/1/1995

Current Firm

AXIOM CAPITAL MANAGEMENT, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AXIOM CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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