Individual Firm
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SUN Y HONG
STEPHANIE HONG, SUN-YOUNG HONG
CRD#: 4313920
IA
B
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
2Nd Floor
Garden City, NY 11530
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3/1/2010
Customer Dispute
Denied
9/2/2009
Customer Dispute
Denied
State Registrations
B
Alabama 10/16/2017
B
New Jersey 6/27/2016
B
Alaska 2/7/2018
B
New York 6/27/2016
B
California 2/21/2017
IA
New York 6/16/2021
B
Colorado 12/12/2023
B
North Carolina 1/22/2020
B
Connecticut 11/12/2018
B
Oklahoma 6/30/2016
B
Georgia 3/18/2021
B
Pennsylvania 2/12/2019
B
Illinois 6/27/2016
B
Tennessee 11/12/2018
B
Maryland 3/18/2022
B
Texas 6/27/2016
B
Massachusetts 9/1/2017
IA
Texas 6/27/2016
B
Missouri 10/5/2017
B
Virginia 2/25/2021
SRO Registrations
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 6/27/2016
B
Registered with this firm since 6/27/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/07/2007 - 06/29/2016 | DALLAS, TX | |
B | 04/23/2001 - 06/29/2016 | DALLAS, TX | |
B | 04/23/2001 - 07/09/2007 | DALLAS, TX |
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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.