Samuel S. Hwang
Professional summary
Samuel Shou Iue Hwang, who also goes by Samuel S Hwang, Samuel Hwang, is a registered financial advisor currently at AIS ASSET MANAGEMENT located in Azusa, California.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Samuel has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Shou Iue Hwang's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2021 - Present
AIS ASSET MANAGEMENT
June 1, 2018 - February 2, 2021
CNR SECURITIES, LLC
April 25, 2018 - February 2, 2021
SYMPHONIC SECURITIES LLC
March 2, 2016 - February 2, 2021
CITY NATIONAL SECURITIES, INC.
March 1, 2016 - February 2, 2021
CITY NATIONAL SECURITIES, INC.
August 7, 2014 - March 9, 2016
LPL FINANCIAL LLC
August 7, 2014 - March 9, 2016
LPL FINANCIAL LLC
May 5, 2014 - August 8, 2014
NATIONAL PLANNING CORPORATION
June 3, 2013 - August 8, 2014
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/18/2021)
(10/11/2023)
Exams
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/6/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AIS ASSET MANAGEMENT
CRD#: 312562 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 8,107,901 |
Red Flags
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