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Detailed Report
HUNG BRANDON LY
BRANDON HUNG LY, BRANDON LY
CRD#: 5500875
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2008201020122014201620182020202220242026IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2014 - 2019 (4 years)IAOPPENHEIMER & CO. INC. (CRD# 249)2009 - 2014 (4 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2009 (1 year)
Disclosure(s)
View By:
1/15/2025
Customer Dispute
Pending
6/22/2021
Regulatory
Final
Previous Registration(s)
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 10/03/2014 - 09/26/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOS ANGELES, CA
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 11/12/2009 - 10/07/2014 OPPENHEIMER & CO. INC. (CRD#:249) LOS ANGELES, CA
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 08/25/2008 - 11/13/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) WOODLAND HILLS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.