AK
Allen C. Kiang
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CRD#: 4864714
AK
Professional summary
Being a previously registered professional could mean that this person 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.
Allen C Kiang, who also goes by Allen Kiang, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 2018. Allen had worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Allen Kiang
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 17, 2022 - December 31, 2023
SYNDICATED CAPITAL, INC.
BD
CRD#: 29037
San Diego, CA
Past
October 23, 2018 - November 12, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN DIEGO, CA
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".
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (1/3/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (1/3/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765
Mailing Address
P. O. Box 274, Brea, CA 92822
Phone number
(310) 751-7098
Established
California since 02/24/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
