SH
Shuxian Hong
ASL CAPITAL MARKETS
Stamford, CT 06901
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CRD#: 7735416
SH
Professional summary
Shuxian Hong is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.
Shuxian is registered as a RR (Registered Representative) and started their career in finance in 2024. Shuxian has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 99TO exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Shuxian Hong's 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®
NoneExperience
Current
April 29, 2024 - Present
ASL CAPITAL MARKETS INC.
Office #1: 600 Summer Street Suite 402, Stamford, CT 06901BD
CRD#: 286115
Stamford, CT
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
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Alabama(1/30/2025)
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Alaska(1/30/2025)
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Arizona(1/30/2025)
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Arkansas(1/30/2025)
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California(1/30/2025)
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Colorado(1/30/2025)
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Connecticut(1/30/2025)
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Delaware(1/30/2025)
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District of Columbia(1/30/2025)
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Florida(1/30/2025)
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Georgia(1/30/2025)
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Idaho(1/30/2025)
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Illinois(1/30/2025)
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Indiana(1/30/2025)
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Iowa(1/30/2025)
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Kansas(1/30/2025)
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Kentucky(1/30/2025)
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Louisiana(1/30/2025)
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Maine(1/30/2025)
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Maryland(1/30/2025)
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Massachusetts(1/30/2025)
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Michigan(1/30/2025)
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Minnesota(1/30/2025)
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Mississippi(1/30/2025)
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Missouri(1/30/2025)
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Montana(1/30/2025)
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Nebraska(1/30/2025)
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Nevada(1/30/2025)
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New Hampshire(1/30/2025)
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New Jersey(1/30/2025)
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New Mexico(1/30/2025)
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New York(1/30/2025)
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North Carolina(1/30/2025)
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North Dakota(1/30/2025)
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Ohio(1/30/2025)
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Oklahoma(1/30/2025)
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Oregon(1/30/2025)
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Pennsylvania(1/30/2025)
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Rhode Island(1/30/2025)
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South Carolina(1/30/2025)
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South Dakota(1/30/2025)
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Tennessee(1/30/2025)
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Texas(1/30/2025)
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Utah(1/30/2025)
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Vermont(1/30/2025)
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Virginia(1/30/2025)
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Washington(1/30/2025)
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West Virginia(1/30/2025)
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Wisconsin(1/30/2025)
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Wyoming(1/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 99TO
Date: 12/9/2023
Operations Professional ExaminationSRO Registrations
RR
FINRA
Current Firm
AC
ASL CAPITAL MARKETS INC.
ASL CAPITAL MARKETS INC.
CRD#: 286115 / SEC#: , 8-69872
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
600 Summer Street Suite 402, Stamford, CT 06901
Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901
Phone number
(203) 388-2940
Established
Delaware since 09/20/2016
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
