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Adam Hong

Some features on this profile are disabled
CRD#: 6530752
AH

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.

Adam Hong was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 2015. Adam had worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 79TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

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

Past

September 8, 2020 - November 15, 2023

CBRE SECURITIES, LLC

BD
CRD#: 151592
LAS VEGAS, NV
Past

September 22, 2015 - April 20, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LAS VEGAS, NV
Past

August 17, 2015 - April 20, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LAS VEGAS, NV

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
Series 63
Date: 8/31/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/18/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/27/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/2015
General Securities Representative Examination

Current Firm

CS
CBRE SECURITIES, LLC
CBRE SECURITIES, LLC | UNION GAMING SECURITIES LLC | UNION GAMING ADVISORS, LLC | UNION GAMING ADVISORS

CRD#: 151592 / SEC#: , 8-68382

BD
Terminated by SEC on 02/19/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 04/17/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
UNION GAMING GROUP, LLCELECTED MEMBER / MANAGER
GLYNN, MICHAEL KIERANCCO2761852
WELK, GREGORY DALEFINOP,CFO,COO4786404

Disclosures

Civil Event1

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

CBRE SECURITIES, LLC

CRD#: 151592

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