AH
Arthur C. Hung
PRINCIPAL SECURITIES
Centerville, OH 45459
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CRD#: 4234663
AH
Professional summary
Arthur Cheh Hung, who also goes by Art Hung, Arthur Chen Hung, Arthur Hung, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Centerville, Ohio.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Arthur has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Art Hung | Arthur Chen Hung | Arthur Hung
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.
**Fixed Insurance; Investment Related; Centerville, OH; Agent; Life, Annuities, DI, Health, Medicare Supplemental; Start Date: 04/04/2019; 15 hrs per month; 8 during trading hours. **WASHINGTON CENTERVILLE PUBLIC LIBRARY POSITION: Member - Financial Advisory Committee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 111 W. Spring Valley Rd, Centerville OH 45458, United States DESCRIPTION: The Financial Advisory Committee is responsible for making specific financial policy recommendations to the Library Board including the annual budget, capital improvement expenditures, and future projections for revenue and expenditures. The Financial Advisory Committee is appointed by the Library Board of Trustees and has up to seven members with financial expertise that serve 4-year terms. **DAYTON CHILDREN'S HOSPITAL FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2022 ADDRESS: One Children's Plaza, Dayton OH 45404, United States DESCRIPTION: I will serve on the Foundation board for a three year-term; will also serve on the Planned Giving Advisory Committee. Dayton Children's Foundation is dedicated to raising and stewarding donor funds in support of the mission of Dayton Children's Hospital.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Cheh Hung's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Cheh Hung'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
March 28, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 7625 Paragon Rd Ste B, Centerville, OH 45459RIA
BD
CRD#: 1137
Centerville, OH
Current
March 20, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 7625 Paragon Rd Ste B, Centerville, OH 45459RIA
BD
CRD#: 1137
Centerville, OH
Past
January 6, 2012 - March 19, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CENTERVILLE, OH
Past
January 6, 2012 - March 19, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CENTERVILLE, OH
Past
September 8, 2009 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
CENTERVILLE, OH
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DAYTON, OH
Past
November 15, 2000 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
California(3/20/2019)
RR
Colorado(4/5/2019)
RR
Florida(9/23/2022)
RR
Hawaii(12/20/2022)
RR
Indiana(3/20/2019)
RR
Kentucky(6/2/2025)
RR
Maryland(5/13/2025)
RR
Mississippi(8/27/2024)
RR
New Jersey(1/5/2024)
RR
North Carolina(8/27/2024)
RR
Ohio(3/20/2019)
IAR
Ohio(3/28/2019)
RR
Texas(9/2/2025)
IAR
Texas(9/2/2025)
RR
Utah(7/14/2025)
RR
Washington(4/5/2019)
RR
Wisconsin(11/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137Centerville, OH 45459TRUST BUT VERIFY
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