Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KUOSEN FUNG
CRD#: 2156914
IA
B
RBC CAPITAL MARKETS, LLCCRD#: 31194 300B Drakes Landing Road
STE 155
Greenbrae, CA 94904
STE 155
Greenbrae, CA 94904
View By:
4/13/2009
Customer Dispute
Settled
State Registrations
B
Arizona 6/30/2022
B
Nevada 6/30/2022
B
California 6/30/2022
B
New York 6/30/2022
IA
California 6/30/2022
B
Oregon 6/30/2022
B
Colorado 6/30/2022
B
Texas 6/30/2022
B
Florida 6/30/2022
IA
Texas 6/30/2022
B
Illinois 6/30/2022
B
Virginia 6/30/2022
B
Massachusetts 7/5/2022
B
Washington 1/3/2024
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/30/2022
B
Registered with this firm since 6/30/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/06/2003 - 07/01/2022 | MILL VALLEY, CA | |
B | 01/10/1997 - 07/01/2022 | MILL VALLEY, CA | |
B | 02/25/1993 - 01/21/1997 | DETROIT, MI | |
B | 12/24/1991 - 02/04/1993 | NEW YORK, NY |
MILL VALLEY, CA
05/06/2003 - 07/01/2022
MILL VALLEY, CA
01/10/1997 - 07/01/2022
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.