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CH

Chun S. Hom

Some features on this profile are disabled
CRD#: 7129470
CH

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.

Chun Shao Hom was a registered financial professional .

Chun is a previously registered financial professional and started their career in finance in 2019. Chun had worked at 12 firms and has passed the Series 99TO and SIE 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

May 12, 2022 - December 13, 2023

GENESIS GLOBAL TRADING, INC

BD
CRD#: 136962
NEW YORK, NY
Past

March 17, 2022 - May 3, 2022

NEWMARK SECURITIES, LLC

BD
CRD#: 309193
NEW YORK, NY
Past

October 12, 2019 - May 27, 2020

CFWP SECURITIES, LLC

BD
CRD#: 170228
NEW YORK, NY
Past

October 12, 2019 - November 20, 2020

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

October 12, 2019 - July 1, 2021

SUNRISE BROKERS LLC

BD
CRD#: 151012
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

FMX EXECUTION, LLC

BD
CRD#: 154075
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

CF SECURED, LLC

BD
CRD#: 285841
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

October 12, 2019 - May 3, 2022

AQUA SECURITIES L.P.

BD
CRD#: 47681
NEW YORK, NY

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

General Industry/Product Exam
RR
Series 99TO
Date: 10/12/2019
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/21/2019
Securities Industry Essentials Examination

Current Firm

GG
GENESIS GLOBAL TRADING, INC
GENESIS GLOBAL TRADING | SECONDMARKET, INC. | GREEN DRAKE, INC. | GREEN DRAKE CAPITAL CORP. | GENESIS GLOBAL TRADING, INC

CRD#: 136962 / SEC#: , 8-67055

BD
Terminated by SEC on 12/10/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/08/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DIGITAL CURRENCY GROUP INCWHOLE OWNER
ALVAREZ, CARLOS CCCO5689384
CHAN, LAI KAM ALICEOFFICER4790629
HOROWITZ, DANIEL ROBERTFINANCIAL AND OPERATIONS PRINCIPAL6424147
ISLIM, AHMED DERARCEO6080654
MURPHY, MARK DANIELDIRECTOR5695540
PRETTO-SAKMANN, ARIANNACHIEF LEGAL OFFICER7115671

Disclosures

Regulatory Event3

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

GENESIS GLOBAL TRADING, INC

CRD#: 136962

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