LS
Leslie K. Song
HUNTINGTON SECURITIES
Chicago, IL 60601
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CRD#: 5537250
LS
Professional summary
Leslie Ka-yun Song, who also goes by Leslie Ka-yun Ng, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Chicago, Illinois.
Leslie is registered as a RR (Registered Representative) and started their career in finance in 2009. Leslie has worked at 3 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Leslie Ka-Yun Ng
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) - BD
Click below to view Leslie Ka-yun Song'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
May 27, 2021 - Present
HUNTINGTON SECURITIES, INC.
Office #1: 222 North Lasalle Street Suite 1200, Chicago, IL 60601BD
CRD#: 2261
Chicago, IL
Past
November 6, 2009 - March 2, 2020
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHICAGO, IL
Past
September 30, 2009 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
CHICAGO, IL
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
Alabama(5/27/2021)
RR
Arizona(5/27/2021)
RR
Arkansas(5/27/2021)
RR
California(5/27/2021)
RR
Colorado(5/27/2021)
RR
Connecticut(11/6/2023)
RR
Florida(5/27/2021)
RR
Illinois(5/27/2021)
RR
Indiana(11/10/2022)
RR
Kentucky(5/27/2021)
RR
Louisiana(5/27/2021)
RR
Massachusetts(11/10/2022)
RR
Michigan(5/27/2021)
RR
New Jersey(5/27/2021)
RR
New Mexico(5/27/2021)
RR
New York(5/27/2021)
RR
North Carolina(5/27/2021)
RR
Ohio(5/28/2021)
RR
Oregon(5/27/2021)
RR
Pennsylvania(5/27/2021)
RR
Tennessee(6/2/2021)
RR
Texas(5/27/2021)
RR
Virginia(5/27/2021)
RR
West Virginia(5/27/2021)
RR
Wisconsin(5/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 11/25/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
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.
