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SE

Steven Eng

HAPI
PORTLAND, OR 97210
Some features on this profile are disabled
CRD#: 6293783
SE

Professional summary

Steven Eng, who also goes by Steven K Eng, Steven Eng, is a registered financial professional currently at HAPI located in Portland, Oregon.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2014. Steven has worked at 7 firms and has passed the Series 66, Series 82TO, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven K Eng | Steven Eng

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Eng's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 14, 2025 - Present

HAPI

Office #1: 2646 Nw Cornell Road, Portland, OR 97210
BD
CRD#: 311868
PORTLAND, OR
Past

April 1, 2021 - December 1, 2025

FINALIS SECURITIES LLC

BD
CRD#: 305908
Buenos Aires,
Past

July 31, 2020 - March 18, 2021

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
Las Vegas, NV
Past

February 13, 2020 - July 15, 2020

M HOLDINGS SECURITIES, INC.

RIA
CRD#: 43285
San Jose, CA
Past

February 13, 2020 - July 15, 2020

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
San Jose, CA
Past

June 26, 2018 - January 31, 2020

GLENDALE SECURITIES, INC.

BD
CRD#: 123649
SHERMAN OAKS, CA
Past

November 5, 2014 - November 2, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Las Vegas, NV
Past

September 10, 2014 - November 2, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Las Vegas, NV
Past

May 14, 2014 - July 10, 2014

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/15/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 12/14/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 12/14/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/7/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HAPI
HAPI | HAPI SECURITIES LLC | HAPI CORP

CRD#: 311868 / SEC#: , 8-70646

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

Main Address
2646 Nw Cornell Road, Portland, OR 97210
Mailing Address
2646 Nw Cornell Road, Portland, OR 97210
Phone number
(503) 201-1375
Established
Delaware since 05/06/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HAPI CORP.OWNER
MAYNARD-PHILIPP, CHRISTIAN DESEREECEO, CCO6592228

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

HAPI

CRD#: 311868Portland, OR 97210

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