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FH

Fong Her

CAPITAL MANAGEMENT ASSOCIATES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 6388638
FH

Professional summary

Fong Her is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

Fong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Fong has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Fong Her'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

April 23, 2021 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

Office #1: 80 S 8th Street Suite 900, Minneapolis, MN 55402
RIA
CRD#: 105010
Minneapolis, MN
Current

April 22, 2021 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120
BD
CRD#: 10579
Minneapolis, MN
Past

April 18, 2017 - September 30, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAINT PAUL, MN
Past

April 18, 2017 - September 30, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAINT PAUL, MN
Past

December 26, 2014 - April 5, 2017

EDWARD JONES

RIA
CRD#: 250
ST PAUL, MN
Past

December 3, 2014 - April 5, 2017

EDWARD JONES

BD
CRD#: 250
ST PAUL, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CM
CAPITAL MANAGEMENT ASSOCIATES INC
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA
Registered Investment Advisory firm - (1/2/1990 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Minnesota
(4/23/2021)
IAR
Minnesota
(4/23/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/24/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT ASSOCIATES INC
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA
Registered Investment Advisory firm - (1/2/1990 Approved)
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Contact information

Main Address
7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120
Mailing Address
Phone number
(952) 893-1200
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts932
AUM (Assets Under Management)$ 1,627,864,626

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

CAPITAL MANAGEMENT ASSOCIATES INC

CRD#: 105010Minneapolis, MN 55402

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