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SS

Suhnghun Seong

ACE DIVERSIFIED CAPITAL
Los Angeles, CA 90010
Some features on this profile are disabled
CRD#: 4400805
SS

Professional summary

Suhnghun Seong is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in Los Angeles, California.

Suhnghun is registered as a RR (Registered Representative) and started their career in finance in 2002. Suhnghun has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Suhnghun Seong'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

August 20, 2009 - Present

ACE DIVERSIFIED CAPITAL, INC.

Office #1: 3600 Wilshire Blvd. Suite 2035, Los Angeles, CA 90010
BD
CRD#: 41768
Los Angeles, CA
Past

August 9, 2004 - September 28, 2009

ETECH SECURITIES, INC.

BD
CRD#: 104195
LOS ANGELES, CA
Past

April 18, 2002 - August 30, 2004

HANMI SECURITIES, INC.

BD
CRD#: 25518
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(8/20/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2002
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: 4/16/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ACE DIVERSIFIED CAPITAL, INC.
ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768 / SEC#: , 8-49555

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

Main Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Mailing Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Phone number
(626) 307-8300
Established
California since 07/31/1996
Firm type
Corporation
Fiscal year end
July
Firm Size
Small
# of Employees

FINRA licenses (1 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#
JEN, LYNNWOODCEO, CCO2198343
JEN, LYNNWOODPFO, POO2198343
TIEN, SHYUEWEN GEORGEFINOP, CFO1941281

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

ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768Los Angeles, CA 90010

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