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ROBERT KWONG HOM
ROBERT K HOM
CRD#: 2745217
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 3530 WILSHIRE BLVD
SUITE 1360
LOS ANGELES, CA 90010
SUITE 1360
LOS ANGELES, CA 90010
0
Disclosures
28
Years of Experience
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State Registrations
B
California 11/14/2024
B
Idaho 1/2/2025
IA
California 11/14/2024
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
B
Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2016 - 11/14/2024 | San Gabriel, CA | |
B | 01/22/2016 - 11/14/2024 | San Gabriel, CA | |
IA | 07/08/1997 - 07/31/2015 | PASADENA, CA | |
B | 07/11/1996 - 07/31/2015 | PASADENA, CA |
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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.