Hsiang H. Hwong

HWONG

SARATOGA, CA

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CRD#: 4864319

Professional summary

Hsiang Hseau Hwong, who also goes by Jim Hwong, is a registered financial advisor currently at HWONG located in Saratoga, California.

Hsiang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Hsiang has worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Hwong

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.

I'm a Real Estate Broker and Insurance Agent for the State of California.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hsiang Hseau Hwong'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®

None

Experience

Current

September 20, 2018 - Present

HWONG

RIA

CRD#: 149925

SARATOGA, CA

Past

September 8, 2010 - August 29, 2018

DAFULLY INC.

RIA

CRD#: 151200

SARATOGA, CA

Past

March 28, 2008 - February 2, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

January 11, 2006 - May 12, 2006

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

SARATOGA, CA

Past

April 1, 2005 - May 12, 2006

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

January 27, 2005 - February 28, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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
(9/20/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/26/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/10/2005

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HWONG

HWONG | HWONG, HSIANG HSEAU

CRD#: 149925 / SEC#:

California

Registered Investment Advisory firm - (7/20/2009 Approved)

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Contact information

Main Address

Saratoga, CA

Mailing Address

Phone number

(408) 823-1168

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Firm Stability Insights

Hsiang H. Hwong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hsiang Hseau Hwong's CRS (Customer Relationship Summary).

Certified licenses

Experience

HWONG

DAFULLY INC.

WORLD GROUP SECURITIES, INC.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2005

Series 63

Date: 2/7/2005

Series 6

Date: 1/26/2005

Series 26

Date: 6/10/2005

Current Firm

HWONG

Contact information

Documents

Red Flags

Company Information

HWONG

TRUST BUT VERIFY

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