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JH

Jia-her Hwang

CRD# 4273340·Registered 2000 - 2013
Previously Registered: Being a previously registered professional could mean that Jia-her 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.

Professional Summary

Jia-her Hwang, who also goes by Jack Hwang, Jai-her Hwang, was a registered financial advisor. Jia-her was a previously registered financial professional and started their career in finance 2000 - 2013. Jia-her had worked at 7 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Hwang, Jai-Her Hwang

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

TREASURE FINANCIAL CORP.·CRD# 38323
BD
Richardson, TX
December 10, 2004 - September 5, 2013
AMERITAS INVESTMENT COMPANY, LLC·CRD# 14869
BD
Lincoln, NE
March 22, 2004 - November 29, 2004
CETERA FINANCIAL SPECIALISTS LLC·CRD# 10358
BD
Schaumburg, IL
January 1, 2004 - March 19, 2004
CAPITAL BROKERAGE CORPORATION·CRD# 10465
BD
Richmond, VA
December 18, 2002 - January 1, 2004
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
New York, NY
January 25, 2001 - November 27, 2002
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Springfield, MA
January 25, 2001 - November 27, 2002
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
December 7, 2000 - January 19, 2001

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Current Firm

TF
TREASURE FINANCIAL CORP.

TREASURE FINANCIAL CORP.

CRD#: 38323 / SEC#: 8-48165
BD
Terminated by SEC on 02/12/2022

Contact Information

Established

Texas since 02/23/1995

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
CHEN, PAOYUDIRECTOR/TREASURE/SHAREHOLDER1872460
LIN, ENCHUANDIRECTOR/SECRETARY/SHAREHOLDER2604017
WU, TSANHWAPRES/DIRECTOR/FINOP/SROP/CROP/CHIEF COMPLIANCE OFFICER1541471

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 2000About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JH
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