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SH

Steve M. Hong

ALLIANCEBERNSTEIN INVESTMENTS
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 5569390
SH

Professional summary

Steve Min Hong, CFA, who also goes by Steve Hong, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.

Steve is registered as a RR (Registered Representative) and started their career in finance in 2008. Steve has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Hong

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.
1. Volunteer at CFA Society of Orange County, located at 4533 MacArthur Blvd #182, Newport Beach, CA 92660, working for 2 hours per month since September 2022. 2. Owner of Swift & Salty, a sportfishing charter business located at 467 Magnolia St., working for 10 hours per month since January 2023. 3. Advisory Board Member at DIV Industrial, working for 1 hour per month since January 2023.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steve Min Hong'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®
CFA

Chartered Financial Analyst

Experience

Current

January 7, 2025 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 66 Hudson Boulevard E, New York, NY 10001
BD
CRD#: 14549
NEW YORK, NY
Past

September 12, 2019 - November 26, 2024

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
COSTA MESA, CA
Past

September 11, 2019 - November 26, 2024

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

January 23, 2019 - March 6, 2019

ULTIMUS FUND DISTRIBUTORS, LLC

BD
CRD#: 104177
CINCINNATI, OH
Past

September 18, 2017 - November 14, 2017

MOTIF CAPITAL MANAGEMENT, INC.

RIA
CRD#: 277051
Costa Mesa, CA
Past

September 15, 2017 - November 14, 2017

MOTIF

BD
CRD#: 155731
SAN MATEO, CA
Past

February 14, 2011 - September 8, 2017

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEWPORT BEACH, CA
Past

October 8, 2008 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEWPORT BEACH, 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
(1/7/2025)
RR
New York
(1/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/10/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCEBERNSTEIN INVESTMENTS, INC.
ALLIANCE FUND DISTRIBUTORS | ALLIANCEBERNSTEIN INVESTMENTS, INC. | ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. | ALLIANCE FUND DISTRIBUTORS, INC.

CRD#: 14549 / SEC#: , 8-30851

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
501 Commerce Street, Nashville, TN 37203
Phone number
(800) 251-0539
Established
Delaware since 11/15/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")PARENT OF REGISTRANT
ARCHARD, NOEL CHRISTIANHEAD OF ETF AND PORTFOLIO SOLUTIONS2563745
GESSNER, MARK ANDREWCHIEF EXECUTIVE OFFICER2447287
KRUEGER, GARY MICHAELDIRECTOR, CHIEF FINANCIAL OFFICER2840211
MANLEY, MARK RANDALLDIRECTOR AND CORPORATE SECRETARY1294370
WRIGHT, DANIEL EUGENECHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event5

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

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549New York, NY 10001

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