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KEVIN SUEN
Kevin Kai Peng Suen, Kevin Suen
CRD#: 5545033
IA
B
STRATEGIC ADVISERS LLCCRD#: 104555 IRVINE, CA
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 IRVINE, CA
0
Disclosures
14
Years of Experience
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State Registrations
B
California 3/15/2022
B
Nevada 3/18/2022
IA
California 3/31/2025
SRO Registrations
B
B
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Learn about permitted activities of registered representatives
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/29/2022 - 03/31/2025 | HERMOSA BEACH, CA | |
IA | 05/08/2020 - 02/28/2022 | ONTARIO, CA | |
B | 05/08/2020 - 02/28/2022 | NEW YORK, NY | |
IA | 01/15/2019 - 11/18/2019 | LOS ANGELES, CA | |
B | 01/15/2019 - 11/18/2019 | LOS ANGELES, CA | |
IA | 09/07/2011 - 01/02/2019 | COSTA MESA, CA | |
B | 08/19/2011 - 01/02/2019 | COSTA MESA, CA | |
B | 06/14/2010 - 06/21/2011 | VIENNA, VA |
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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.