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HY

Hai-ping Yung

Some features on this profile are disabled
CRD#: 4158666
HY

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.

Hai-ping Yung, who also goes by Hai Ping Yung, was a registered financial professional .

Hai-ping is a previously registered financial professional and started their career in finance in 2000. Hai-ping had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hai Ping Yung

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

February 5, 2018 - July 8, 2022

GRIFFINEST ASIA SECURITIES, LLC

BD
CRD#: 132187
PASADENA, CA
Past

January 31, 2014 - June 28, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
MONROVIA, CA
Past

January 22, 2010 - May 3, 2012

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MONTEREY PARK, CA
Past

March 11, 2009 - November 19, 2009

CORE PACIFIC SECURITIES USA LLC

BD
CRD#: 44442
COVINA, CA
Past

August 11, 2005 - April 12, 2007

CORE PACIFIC SECURITIES USA LLC

BD
CRD#: 44442
ARCADIA, CA
Past

January 12, 2005 - August 2, 2005

REDWOOD SECURITIES GROUP, INC.

RIA
CRD#: 27536
SAN FRANCISCO, CA
Past

January 12, 2005 - August 2, 2005

REDWOOD SECURITIES GROUP, INC.

BD
CRD#: 27536
SAN FRANCISCO, CA
Past

January 8, 2004 - April 23, 2004

WHITE PACIFIC SECURITIES, INC.

BD
CRD#: 42505
SAN FRANCISCO, CA
Past

December 16, 2002 - September 24, 2003

CAMDEN SECURITIES, INC.

BD
CRD#: 18305
LOS ANGELES, CA
Past

November 19, 2001 - April 23, 2007

CORE PACIFIC ASSET MANAGEMENT LLC

RIA
CRD#: 135874
ARCADIA, CA
Past

June 30, 2000 - November 14, 2002

CORE PACIFIC SECURITIES USA LLC

BD
CRD#: 44442
COVINA, CA

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
RR
IAR
Series 66
Date: 8/3/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/2000
General Securities Representative Examination

Current Firm

GA
GRIFFINEST ASIA SECURITIES, LLC
FUBON SECURITIES USA, LLC | GRIFFINEST ASIA SECURITIES, LLC

CRD#: 132187 / SEC#: , 8-66571

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101
Mailing Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101
Phone number
(626) 792-1388
Established
California since 03/23/2004
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRIFFINEST ASIA CAPITAL, INC.MEMBER
LI, CHUNG PINGGSP, SENIOR MANAGER4575230
LIN, VICTOR HUANG-CHIANGCEO, GSP4351482
TAI, KATIE SCCO, FINOP4229635
WANG, XINYIGSP, RESEARCH PRINCIPAL6268504

Disclosures

Regulatory Event1

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

GRIFFINEST ASIA SECURITIES, LLC

CRD#: 132187

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