Fortune Securities, Inc.

Broker-DealerFINRA MemberEst. 1997
Total AUM
Advisory reps
16
Avg account
$0

Firm details

Headquarters
Alhambra, California
CRD number
40821
Registered since
May 2, 1997

Firm profile

FINTRX

Overview

Fortune Securities, Inc. is organized as a corporation and appears in regulatory records with an SEC registration date of 1997. Ownership is listed as an individual rather than a corporate parent or institutional owner. The firm is categorized as “unclassified” in the available snapshot and several operational flags are negative: it is not identified as a capital allocator, not an active ESG investor, not a multi-state adviser, not newly formed, and not a pension consultant or related adviser. The dataset provides no descriptions of the firm’s advisory services, core business activities, client types, or fee structure. That lack of disclosure limits a clear read on how Fortune Securities positions itself in the wealth-management or brokerage market and whether it currently operates as an active adviser or broker-dealer conduit.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Contacts

3 of 16
  • James Yen

    PresidentCRD 2257452

  • Shu-nuan Chang

    foreign associateCRD 5729132

  • David Liu

    CRD 5835446

Unlock 13 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Alhambra, CA

Los Angeles

Location

Alhambra, CA

Headquartered in Alhambra, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Los Angeles
Address
388 E Valley Blvd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth