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Ming Chi Hwang

CRD# 2652137·Registered 1997 - 2012
Previously Registered: Being a previously registered professional could mean that Ming 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.

Professional Summary

Ming Chi Hwang was a registered financial advisor. Ming was a previously registered financial professional and started their career in finance 1997 - 2012. Ming had worked at 3 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

WHITE PACIFIC SECURITIES, INC.·CRD# 42505
BD
San Francisco, CA
July 31, 2000 - March 2, 2012
ACUMENT SECURITIES, INC.·CRD# 7661
BD
San Francisco, CA
May 14, 1997 - July 31, 2000
AMERICAL SECURITIES, INC.·CRD# 28096
BD
San Francisco, CA
February 25, 1997 - May 23, 1997

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Current Firm

WP
WHITE PACIFIC SECURITIES, INC.

STAR TRADERS, INC. | WHITE PACIFIC SECURITIES, INC.

CRD#: 42505 / SEC#: 8-49936
BD
Terminated by SEC on 05/04/2012

Contact Information

Established

Nevada since 12/13/1996

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MANDARIN HOLDINGS GROUP, INC.PASSIVE INVESTOR HOLDING COMPANY—
ANGLE, ROBERT THOMSONPRESIDENT/CEO811495
QUINTERO, ARTHUR MANLIOCCO, FINOP1676250
SMALL, AARON DOUGLASOPERATIONS MANAGER3064188

Disclosures

Regulatory Event

7

Arbitration

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1997About the Series 7 exam

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CRS (Client Relationship Summary)

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

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