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Pierre Alexandre K. Chao

BA SECURITIES
Arlington, VA 22209
Some features on this profile are disabled
CRD#: 1868373
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Professional summary

Pierre Alexandre Kuang Hon Chao, who also goes by Pierre A. Chao, Pierre Alexander Chao, Pierre Alexander Kuanghon Chao, Pierre Chao, Pierrealexander Kuang Hon Chao, is a registered financial professional currently at BA SECURITIES, LLC located in Arlington, Virginia.

Pierre Alexandre is registered as a RR (Registered Representative) and started their career in finance in 1994. Pierre Alexandre has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pierre A. Chao | Pierre Alexander Chao | Pierre Alexander Kuanghon Chao | Pierre Chao | Pierrealexander Kuang Hon Chao

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 Pierre Alexandre Kuang Hon Chao'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®
None

Experience

Current

April 16, 2018 - Present

BA SECURITIES, LLC

Office #1: 1300 Wilson Boulevard, Suite 800, Arlington, VA 22209
BD
CRD#: 153489
Arlington, VA
Past

September 17, 2013 - March 5, 2018

STILLPOINT CAPITAL, LLC

BD
CRD#: 133146
TAMPA, FL
Past

June 24, 1999 - September 12, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 7, 1995 - June 28, 1999

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

November 15, 1994 - March 9, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(8/2/2018)
RR
Connecticut
(10/5/2022)
RR
Delaware
(10/5/2022)
RR
District of Columbia
(4/16/2018)
RR
Florida
(3/29/2019)
RR
Georgia
(10/5/2022)
RR
Illinois
(4/16/2018)
RR
Maryland
(4/16/2018)
RR
Massachusetts
(10/5/2022)
RR
New York
(4/16/2018)
RR
North Carolina
(8/23/2022)
RR
Oregon
(4/16/2018)
RR
Pennsylvania
(4/16/2018)
RR
Texas
(10/5/2022)
RR
Utah
(8/23/2022)
RR
Virginia
(4/16/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/12/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

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

Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BA HOLDCO, LLCOWNER
BOLDEN, MICHAEL LABRADORCHIEF COMPLIANCE OFFICER6411755
CHUFF, JOHN JOSEPHPRESIDENT1205736
HATLING, PEDER ALANPRINCIPAL5240595
JUILIANO, COLLEEN JANEFINOP4818898
KELLER-YOUNG, SUZANNEOPERATIONS MANAGER5495492
PICKENS, DANIEL NEHILPRINCIPAL1042225
WENTZLER, DENNIS RAYMONDCHIEF OPERATIONS OFFICER & AML OFFICER4221461

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.

Company Information

BA SECURITIES, LLC

CRD#: 153489Arlington, VA 22209

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