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Samuel Shou Iue Hwang

Ais Asset Management

Azusa, CA

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Current Employers
Ais Asset Management

Azusa, CA • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-10-11
CA RA APPROVED 2021-02-18
  • TX RA
    APPROVED
    Since 2023-10-11
  • CA RA
    APPROVED
    Since 2021-02-18

Branch Locations

Azusa, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
City National Bank Beverly Hills CA 03/2016 08/2017
City National Bank Los Angeles CA 08/2017 06/2019
City National Bank Los Angeles CA 06/2019 01/2021
Ais Asset Management Azusa CA 01/2021 Present
  • 03/2016 → 08/2017
    City National Bank
    Beverly Hills, CA
  • 08/2017 → 06/2019
    City National Bank
    Los Angeles, CA
  • 06/2019 → 01/2021
    City National Bank
    Los Angeles, CA
  • 01/2021 → Present
    Ais Asset Management
    Azusa, CA
Previous Registrations
  • 2016-03-02 → 2021-02-02
    Rbc Securities, Inc
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2014-08-07 → 2016-03-09
    Lpl Financial Llc
    Azusa, CA
    La Mesa, CA
    Monrovia, CA
  • 2014-05-05 → 2014-08-08
    National Planning Corporation
    West Covina, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-20
S63 Uniform Securities Agent State Law Examination 2013-06-10
  • S65 Uniform Investment Adviser Law Examination
    2014-04-20
  • S63 Uniform Securities Agent State Law Examination
    2013-06-10
Other Names
  • Samuel Hwang
  • Samuel S Hwang

View on SEC IAPD

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