HK
How Ling Khong
CAPSTAN
SAN FRANCISCO, CA
Some features on this profile are disabled
CRD#: 4575559
HK
Professional summary
How Ling Khong, who also goes by Ling Khong, is a registered financial advisor currently at CAPSTAN LLC located in San Francisco, California.
How Ling is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. How Ling has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ling Khong
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.
CRS (Client Relationship Summary) - RIA
Click below to view How Ling Khong'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
July 2, 1998 - Present
CAPSTAN LLC
RIA
CRD#: 111937
SAN FRANCISCO, CA
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(7/2/1998)
Exams
Current Firm
CL
CAPSTAN LLC
CAPSTAN L.L.C. | CAPSTAN LLC
CRD#: 111937 / SEC#:
California
Registered Investment Advisory firm - (7/2/1998 Approved)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
San Francisco, CA
Mailing Address
Phone number
(415) 283-7677
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 33,499,490 |
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.
