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Brian P. Oung

CRD#: 3159467
Some features on this profile are disabled
BO
Brian Parkun Oung

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.

Brian Parkun Oung, who also goes by Brian Park Un Oung, Brian Park-un Oung, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Park Un Oung | Brian Park-Un Oung

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

March 27, 2013 - December 8, 2014

KEY WEST INVESTMENTS, LLC

BD
CRD#: 149418
SAN GABRIEL, CA
Past

January 15, 2013 - December 8, 2014

KEY WEST INVESTMENTS, LLC

RIA
CRD#: 149418
SAN GABRIEL, CA
Past

March 3, 2010 - December 20, 2010

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

February 19, 2010 - December 20, 2010

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 4, 2009 - February 5, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
LOS ANGELES, CA
Past

May 4, 2009 - February 5, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST. PETERSBURG, FL
Past

March 31, 2008 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA
CRD#: 3600
LOS ANGELES, CA
Past

September 20, 2006 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

January 30, 2006 - September 13, 2006

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
PHOENIX, AZ
Past

January 30, 2006 - September 13, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ
Past

August 31, 1999 - February 24, 2005

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ARCADIA, CA
Past

January 1, 1999 - February 24, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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: 8/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/8/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/3/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/11/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/30/2001
General Securities Sales Supervisor - General Module Examination

Current Firm

KW
KEY WEST INVESTMENTS, LLC
KEY WEST INVESTMENTS, LLC

CRD#: 149418 / SEC#: , 8-68166

BD
Terminated by SEC on 02/14/2019
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Contact information

Main Address
227 W. Valley Blvd, Suite 298-b, San Gabriel, CA 91776
Mailing Address
Phone number
Established
California since 09/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
YIU, YVONNE YINGFANCEO, CCO & FINOP3135460
QUINTERO, ARTHUR MANLIOCCO1676250

Disclosures

Regulatory Event2

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.

Company Information

KEY WEST INVESTMENTS, LLC

CRD#: 149418

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