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VK

Vivian T. Kong

HINES PRIVATE WEALTH SOLUTIONS LLC
Houston, TX 77002
Some features on this profile are disabled
CRD#: 6933950
VK

Professional summary

Vivian Tchang Kong is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Houston, Texas.

Vivian is registered as a RR (Registered Representative) and started their career in finance in 2018. Vivian has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 24 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) - BD

Click below to view Vivian Tchang Kong'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

August 22, 2019 - Present

HINES PRIVATE WEALTH SOLUTIONS LLC

Office #1: 845 Texas Avenue Suite 3300, Houston, TX 77002
BD
CRD#: 128145
Houston, TX
Past

April 30, 2018 - July 9, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SUGAR LAND, TX

State Registrations and Notice Filings

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

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
Texas
(8/22/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/22/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/2018
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HP
HINES PRIVATE WEALTH SOLUTIONS LLC
HINES PRIVATE WEALTH SOLUTIONS LLC | HINES SECURITIES, INC. | HINES REAL ESTATE SECURITIES, INC. | HINES REAL ESTATE INVESTMENTS, INC.

CRD#: 128145 / SEC#: , 8-66096

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

Main Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Mailing Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Phone number
(888) 446-3773
Established
Delaware since 03/28/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
HINES RETAIL SECURITIES LLCOWNER
CARUSO, JOHN ARMONDMANAGING DIRECTOR, MANAGER5524146
FERRARO, PAUL JAMESSENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO2479671
FOGG, RICHARD MATTHEW JRMANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER2669807
HILL, LERONICA CARRIETTACHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY4936282
HUSSEIN, SHAUN RPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5193143

Disclosures

Regulatory 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

HINES PRIVATE WEALTH SOLUTIONS LLC

CRD#: 128145Houston, TX 77002

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