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Detailed Report
GARY EDWIN UNG
CRD#: 1503215
IA
Investment Adviser
B
Broker
STONEX ADVISORS INC.CRD#: 174182 2 PERIMETER PARK SOUTH
SUITE 500 WEST
BIRMINGHAM, AL 35243
STONEX SECURITIES INC.CRD#: 18456 SAN JOSE, CA
Registration History
199019952000200520102015202020252 FIRMS1991 - 1993 (1 year)2 FIRMS2019 - Present (5 years)BQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)2002 - 2019 (17 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)1995 - 2002 (7 years)BG.R. STUART & COMPANY, INC. (CRD# 29101)1993 - 1995 (2 years)BFINANCIAL SECURITIES NETWORK,INC. (CRD# 16153)1993 - 1993 (<1 year)BBARABAN SECURITIES, INC. (CRD# 7659)1988 - 1991 (3 years)IAUNG FINANCIAL & INSURANCE SERVICES (CRD# 135404)1994 - 2020 (25 years)IAQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)2018 - 2019 (1 year)
License(s)

State Registrations

B
California 12/6/2019
B
New Jersey 12/6/2019
IA
California 12/6/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STONEX ADVISORS INC. (CRD#:174182)
2 PERIMETER PARK SOUTH SUITE 500 WEST, BIRMINGHAM, AL 35243
Registered with this firm since 12/6/2019
B
STONEX SECURITIES INC. (CRD#:18456)
SAN JOSE, CA
Registered with this firm since 12/6/2019
Previous Registration(s)
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IA
 03/25/1994 - 02/08/2020 UNG FINANCIAL & INSURANCE SERVICES (CRD#:135404) SAN JOSE, CA
IA
 09/21/2018 - 12/06/2019 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) SAN JOSE, CA
B
 12/19/2002 - 12/06/2019 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) LAGUNA HILLS, CA
B
 06/05/1995 - 12/31/2002 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
B
 03/16/1993 - 06/05/1995 G.R. STUART & COMPANY, INC. (CRD#:29101) MAYNARD, MA
B
 01/22/1993 - 03/16/1993 FINANCIAL SECURITIES NETWORK,INC. (CRD#:16153)
B
 04/08/1991 - 02/12/1993 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 04/08/1991 - 02/12/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
 02/23/1988 - 03/07/1991 BARABAN SECURITIES, INC. (CRD#:7659) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.