Ming C. Hwang
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.
Ming Chi Hwang was a registered financial professional .
Ming is a previously registered financial professional and started their career in finance in 1997. Ming had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2000 - March 2, 2012
WHITE PACIFIC SECURITIES, INC.
May 14, 1997 - July 31, 2000
ACUMENT SECURITIES, INC.
February 25, 1997 - May 23, 1997
AMERICAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WHITE PACIFIC SECURITIES, INC.
CRD#: 42505 / SEC#: , 8-49936
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
