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CRD#: 146871
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

EAST WEST MARKETS, LLC is located at 5001 Spring Valley Road Suite 400w, Dallas, TX 75244 and was first established at Dallas, Texas in 07/17/2006. After operating for 19 years, EAST WEST MARKETS, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of EAST WEST MARKETS, LLC’s clients are individuals and 0% of their clients are high net worth individuals. EAST WEST MARKETS, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at EAST WEST MARKETS, LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access EAST WEST MARKETS, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at EAST WEST MARKETS, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for EAST WEST MARKETS, LLC Comes From

Understanding the Statistics for EAST WEST MARKETS, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
No Disclosures

FIRM INFORMATION

Main Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Mailing Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Firm Size
Small
Phone Number
(469) 801-7397
Established
Texas since 07/17/2006
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
EAST WEST BANKCORP, INC.SOLE MEMBER
CHIN, PHYLLIS NYUK FAHFINOP/PFO6250921
DOHERTY, JAMES HUGHPOO4197747
HALASY, HALECCO1837514
HOUGH, DAVID BREWSTERCHIEF EXECUTIVE OFFICER4394641

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Advisor's working at EAST WEST MARKETS, LLC

HH

Hale Halasy

Hale (nmn) Halasy
RR
CRD#: 1837514
Location:
New York, NY 10022
Company:
EAST WEST MARKETS, LLC
Disclosures:
Experience:
37 years
View Profile
MT

Matthew Frank Tallo

RR
CRD#: 1848883
Location:
New York, NY 10022
Company:
EAST WEST MARKETS, LLC
Disclosures:
Experience:
22 years
View Profile
JD

James Hugh Doherty

James H. Doherty, Jim Doherty
RR
CRD#: 4197747
Location:
New York, NY 10022
Company:
PAPAMARKOU WELLNER & CO., INC.
Disclosures:
Experience:
25 years
View Profile
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