Yoon Sik Hwang
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.
Yoon Sik Hwang, who also goes by Eric Hwang, Eric Lee, Erick Hwang Lee, Erik Lee, was a registered financial professional .
Yoon Sik is a previously registered financial professional and started their career in finance in 2013. Yoon Sik had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - December 8, 2017
NETWORK 1 FINANCIAL SECURITIES INC.
March 10, 2016 - February 7, 2017
SPARTAN CAPITAL SECURITIES, LLC
December 8, 2015 - February 23, 2016
CAPITAL ONE INVESTING, LLC
November 7, 2013 - November 17, 2015
AEGIS CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
