Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kuosen? Claim Your ProfileKuosen Fung is an active investment advisor representative, registered in California and Texas. Kuosen has been in the financial industry since 1992. Kuosen is currently employed at RBC Capital Markets, LLC, and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Olde Discount Corporation, and McLaughlin, Piven, Vogel Securities, Inc. Kuosen has a CFP designation and holds the Series 63, 65, 7, 8, 9, 10, and SIE licenses. Kuosen provides financial planning services to individuals, businesses, and institutions, including pension consulting, education seminars, and portfolio management for businesses. Kuosen has over 20 years of experience in the financial industry.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
06/30/2022 - Present
RBC Capital Markets, LLC (Greenbrae CA)
CA
01/10/1997 - 07/01/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MILL VALLEY CA)
MI
02/25/1993 - 01/21/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
NY
12/24/1991 - 02/04/1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)
IA
Issued 05/02/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/24/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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