Amy S. Ho
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amy Sam Ho, who also goes by Amy Sam, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1989. Amy had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2008 - July 24, 2012
WELLINGTON SECURITIES, INC.
July 1, 1993 - January 3, 2008
SECURITIES AMERICA, INC.
August 27, 1990 - July 14, 1993
E-W INVESTMENTS, INC.
September 1, 1989 - August 23, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLINGTON SECURITIES, INC.
CRD#: 16659 / SEC#: , 8-34337
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
