Tim Y. Ho

FORTUNE FINANCIAL SERVICES

Arcadia, CA 91007

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CRD#: 1011832

Professional summary

Tim Yau Ho, CFP® is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Arcadia, California.

Tim is registered as a RR (Registered Representative) and started their career in finance in 1981. Tim has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tim Yau Ho's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

October 1, 2012 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 735 West Duarte Road Suite 303, Arcadia, CA 91007

CRD#: 42150

Arcadia, CA

Past

January 2, 2008 - October 1, 2012

WELLINGTON SECURITIES, INC.

CRD#: 16659

ARCADIA, CA

Past

July 1, 1993 - January 3, 2008

SECURITIES AMERICA, INC.

CRD#: 10205

ARCADIA, CA

Past

August 22, 1990 - July 14, 1993

E-W INVESTMENTS, INC.

CRD#: 17463

SAN GABRIEL, CA

Past

May 2, 1990 - August 28, 1990

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 18, 1990 - May 9, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 8, 1986 - April 2, 1990

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

February 17, 1984 - January 21, 1986

BRETCOURT SECURITIES CORPORATION

CRD#: 10604

Past

November 17, 1981 - December 7, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/1/2012)

California
(10/1/2012)

Florida
(1/4/2021)

Nevada
(10/3/2012)

New York
(8/2/2013)

Oklahoma
(2/10/2014)

Pennsylvania
(1/28/2014)

Texas
(1/4/2021)

Washington
(10/1/2012)

Exams

State Security Law Exam

Series 63

Date: 3/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/5/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

3582 Brodhead Road Suite 202, Monaca, PA 15061

Mailing Address

P.o. Box 238, Monaca, PA 15061

Phone number

(724) 846-2488

Established

Pennsylvania since 10/21/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DANIELS, BLAKE WILLIAM	CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO	1285106
DANIELS, BRIAN LEE	OWNER	1213561
BENTLEY, GREGORY JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	705379
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEE	CHIEF OPERATIONS OFFICER, FINOP, PFO, POO	4794021

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Tim Y. Ho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tim Yau Ho's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLINGTON SECURITIES, INC.

SECURITIES AMERICA, INC.

E-W INVESTMENTS, INC.

CAPITAL BROKERAGE CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BRETCOURT SECURITIES CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/6/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Series 24

Date: 12/5/1985

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FORTUNE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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