Hung Sam is a registered investment advisor, based in Orange, CA, with 13 years of industry experience.
Location
2284 N. Glassell Street, Suite G, Orange, CA, 92865
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Regulatory History (3)
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Regulatory
December 2021Final
Regulatory
May 2021Final
Customer Dispute
April 2020Denied
Other Business ActivitiesSells Insurance
Hung is the president of Capital Gains Financial Services, where he spends about 10% of his time and sells life insurance. He also co-owns South Coast Tax Services with his wife and owns Rossmoor Properties, LLC, dedicating about 10-20% of his time to each.
Employment History
Current Registrations
Kovack Securities INC.Broker
February 2022 - Present · 4 yrs 3 mos
Kovack Advisors, INC.
August 2021 - Present · 4 yrs 9 mos
Previous Registrations
Kovack Advisors, INC.
November 2020 - July 2021 · 8 mos
Wells Fargo Clearing Services, LLC
August 2016 - December 2020 · 4 yrs 4 mos
Wells Fargo Clearing Services, LLCBroker
July 2016 - December 2020 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2013 - August 2016 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2013 - August 2016 · 3 yrs 6 mos
State Registrations10 states
ARAZCAGANCNMORTXUTVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.