Chief Compliance Officer & Chief Operating Officer · Spectrum Asset Management Inc
Tony K. Jung
CRD 3241976 · Named on Form ADV at one SEC-registered adviser
At a glance
Spectrum Asset Management Inc, an SEC-registered wealth manager based in Newport Beach, CA with $657 million in regulatory assets, lists Tony K. Jung on its Form ADV as Chief Compliance Officer & Chief Operating Officer, a control person.
Firms and roles
- Spectrum Asset Management IncChief Compliance Officer & Chief Operating OfficerWealth manager · Newport Beach, CA · $657M in regulatory assets
AtlasMembers
Tony’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2013 (13 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
Tony’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Roland D. KellyTrustee of Kelly Family Trust DTD 08/28/1984, Spectrum Asset Management Inc
- Ryan L. KellyChief Executive Officer of Spectrum Asset Management & Trustee of Ryan LEE Kelly Separate Property Trust DTD 01/11/2006, Spectrum Asset Management Inc
- Marc D. KellyShareholder, Spectrum Asset Management Inc
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Tony’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.