JH
James K. Ho
WEST BRANCH CAPITAL LLC
HINGHAM, MA 02043
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CRD#: 2036580
JH
Professional summary
James Kai Ho MR., who also goes by James Kai Ho, is a registered financial advisor currently at WEST BRANCH CAPITAL LLC located in Hingham, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Kai Ho
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Kai Ho MR.'s 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®
NoneExperience
Current
May 27, 2009 - Present
WEST BRANCH CAPITAL LLC
Office #1: 99 Derby Street Suite 200, Hingham, MA 02043RIA
CRD#: 133813
HINGHAM, MA
Past
April 17, 2003 - November 10, 2009
LEGACY FINANCIAL SERVICES, INC.
RIA
CRD#: 115495
LEXINGTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WB
WEST BRANCH CAPITAL LLC
DAVIS FINANCIAL SERVICES, LLC, A DIVISION OF WEST BRANCH CAPITAL, LLC | WEST BRANCH CAPITAL LLC | SINGER POTITO ASSOCIATES, A DIVISION OF WEST BRANCH CAPITAL LLC | LEGACY FINANCIAL SERVICES (LEGACY), DIVISION OF WEST BRANCH CAPITAL LLC
CRD#: 133813 / SEC#: 801-78332
RIA
Registered Investment Advisory firm - (7/24/2013 Approved)Massachusetts
Registered Investment Advisory firm - (8/23/2013 Terminated)New Hampshire
Registered Investment Advisory firm - (12/18/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Massachusetts(5/27/2009)
Exams
General Industry/Product Exam
RR
Series 2
Date: 5/10/1996
Non-Member General Securities ExaminationCurrent Firm
WB
WEST BRANCH CAPITAL LLC
DAVIS FINANCIAL SERVICES, LLC, A DIVISION OF WEST BRANCH CAPITAL, LLC | WEST BRANCH CAPITAL LLC | SINGER POTITO ASSOCIATES, A DIVISION OF WEST BRANCH CAPITAL LLC | LEGACY FINANCIAL SERVICES (LEGACY), DIVISION OF WEST BRANCH CAPITAL LLC
CRD#: 133813 / SEC#: 801-78332
RIA
Registered Investment Advisory firm - (7/24/2013 Approved)Massachusetts
Registered Investment Advisory firm - (8/23/2013 Terminated)New Hampshire
Registered Investment Advisory firm - (12/18/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9 Research Drive Suite 1, Amherst, MA 01002
Mailing Address
P.o. Box 2067, Amherst, MA 01004
Phone number
833-888-0534; 413-256-1225
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,217 |
| AUM (Assets Under Management) | $ 630,872,497 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WEST BRANCH CAPITAL LLC
CRD#: 133813Hingham, MA 02043TRUST BUT VERIFY
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