MH
Matson K. Hom
AW SECURITIES
Folsom, CA 95630
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CRD#: 2883210
MH
Professional summary
Matson Kok Fai Hom, who also goes by Matson K Hom, is a registered financial professional currently at AW SECURITIES located in Folsom, California.
Matson is registered as a RR (Registered Representative) and started their career in finance in 1998. Matson has worked at 4 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Matson K Hom
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.
CRS (Client Relationship Summary) - BD
Click below to view Matson Kok Fai Hom'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®
NoneExperience
Current
January 2, 2008 - Present
AW SECURITIES
Office #1: 340 Palladio Pkwy Suite 501, Folsom, CA 95630BD
CRD#: 103747
Folsom, CA
Past
January 1, 2007 - December 31, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SACRAMENTO, CA
Past
November 1, 2000 - March 22, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 2, 1998 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
BD
CRD#: 34925
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/4/2012)
RR
Arizona(1/5/2009)
RR
Arkansas(1/5/2009)
RR
California(1/2/2008)
RR
Colorado(1/5/2009)
RR
Florida(1/5/2009)
RR
Georgia(1/5/2009)
RR
Hawaii(1/5/2009)
RR
Idaho(1/5/2009)
RR
Illinois(1/2/2008)
RR
Kansas(1/5/2009)
RR
Kentucky(1/17/2014)
RR
Maryland(1/5/2009)
RR
Massachusetts(1/5/2009)
RR
Michigan(2/7/2012)
RR
Minnesota(1/6/2012)
RR
Missouri(1/5/2009)
RR
Montana(1/5/2009)
RR
Nevada(1/5/2009)
RR
New Mexico(1/5/2009)
RR
New York(1/4/2011)
RR
North Carolina(1/5/2009)
RR
North Dakota(1/3/2013)
RR
Ohio(1/6/2009)
RR
Oklahoma(1/5/2009)
RR
Oregon(1/5/2009)
RR
South Carolina(1/4/2012)
RR
South Dakota(1/5/2009)
RR
Texas(1/2/2008)
RR
Utah(1/5/2009)
RR
Virginia(1/5/2009)
RR
Washington(1/5/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/2/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN
CRD#: 103747 / SEC#: 801-69038, 8-52250
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
10
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AW SECURITIES
CRD#: 103747Folsom, CA 95630TRUST BUT VERIFY
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