HH
Hsiaoping R. Hua
QTRON INVESTMENTS LLC
Boston, MA 02109
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CRD#: 3075837
HH
Professional summary
Hsiaoping Ronald Hua is a registered financial advisor currently at QTRON INVESTMENTS LLC located in Boston, Massachusetts.
Hsiaoping is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Hsiaoping has worked at 2 firms and has passed the Series 66 and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Hsiaoping Ronald Hua'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
July 10, 2017 - Present
QTRON INVESTMENTS LLC
Office #1: 50 Milk Street 16th Fl, Boston, MA, 02109RIA
CRD#: 285608
Boston, MA
Past
August 7, 1998 - August 20, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QI
QTRON INVESTMENTS LLC
QTRON INVESTMENTS LLC
CRD#: 285608 / SEC#: 801-111732
RIA
Registered Investment Advisory firm - (9/26/2017 Approved)Massachusetts
Registered Investment Advisory firm - (10/4/2017 Terminated)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
Massachusetts(7/10/2017)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
QI
QTRON INVESTMENTS LLC
QTRON INVESTMENTS LLC
CRD#: 285608 / SEC#: 801-111732
RIA
Registered Investment Advisory firm - (9/26/2017 Approved)Massachusetts
Registered Investment Advisory firm - (10/4/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 High Street 5th Floor, Boston, MA 02110
Mailing Address
Phone number
(617) 514-7340
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 1,066,011,818 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 5/15/2017 |
Red Flags
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Company Information
QTRON INVESTMENTS LLC
CRD#: 285608Boston, MA 02109TRUST BUT VERIFY
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