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HF

Hong Fang

CRD# 5580624·Registered 2008 - 2021
Previously Registered: Being a previously registered professional could mean that Hong 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.

Professional Summary

Hong Fang, who also goes by Helen Fang, was a registered financial advisor. Hong was a previously registered financial professional and started their career in finance 2008 - 2021. Hong had worked at 2 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Helen Fang

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

OKCOIN SECURITIES LLC·CRD# 136696
BD
San Fransisco, CA
December 5, 2019 - July 16, 2021
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
September 1, 2008 - October 25, 2016

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Current Firm

OS
OKCOIN SECURITIES LLC

DEEP ATS, LLC | SPOT QUOTE LLC | OKCOIN SECURITIES LLC

CRD#: 136696 / SEC#: 8-67038
BD
Terminated by SEC on 07/13/2021

Contact Information

Established

Texas since 10/18/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
OKCOIN USA INC.OWNER—
FANG, HONGCEO, PRINCIPAL AND DIRECTOR5580624
GOLDMAN, CLIFFORD HOWARDPRINCIPAL, FINOP, CCO224292
XU, MINGXINGDIRECTOR7152614

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7TO — General Securities Representative Examination

Passed Dec 2019About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2008About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2020About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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