Tony K. Jung

SPECTRUM ASSET MANAGEMENT

Newport Beach, CA 92660-2453

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CRD#: 3241976

Professional summary

Tony Kyuwhan Jung, who also goes by Tony K Jung, is a registered financial advisor currently at SPECTRUM ASSET MANAGEMENT INC located in Newport Beach, California.

Tony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Tony has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony K Jung

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) - RIA

Click below to view Tony Kyuwhan Jung's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2013 - Present

SPECTRUM ASSET MANAGEMENT INC

Office #1: 1301 Dove Street Suite 720, Newport Beach, CA 92660-2453

RIA

CRD#: 111007

Newport Beach, CA

Past

September 25, 2001 - June 19, 2002

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

July 21, 1999 - November 24, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

SPECTRUM ASSET MANAGEMENT INC

CRD#: 111007 / SEC#: 801-30377

RIA

Registered Investment Advisory firm - (9/4/1987 Approved)

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

California
(1/2/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/20/1999

General Securities Representative Examination

Current Firm

SPECTRUM ASSET MANAGEMENT INC

CRD#: 111007 / SEC#: 801-30377

RIA

Registered Investment Advisory firm - (9/4/1987 Approved)

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Contact information

Main Address

1301 Dove Street Suite 720, Newport Beach, CA 92660-2453

Mailing Address

Phone number

(949) 717-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	941
AUM (Assets Under Management)	$ 640,063,728

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.

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Tony K. Jung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Kyuwhan Jung's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPECTRUM ASSET MANAGEMENT INC

ASSOCIATED SECURITIES CORP.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SPECTRUM ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2012

Series 63

Date: 8/13/1999

Series 7

Date: 7/20/1999

Current Firm

SPECTRUM ASSET MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM ASSET MANAGEMENT INC

TRUST BUT VERIFY

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