Kenneth H. Swong
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.
Kenneth Ho Swong, who also goes by Chin Hoe Swong, Ken H Swong, Kenneth Chin Hoe Swong, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1990. Kenneth had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, 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
March 1, 2018 - March 12, 2021
BOC INTERNATIONAL (USA) INC.
July 28, 1998 - November 17, 2006
CITIGROUP GLOBAL MARKETS INC.
July 23, 1998 - September 1, 1998
SALOMON BROTHERS INC.
September 24, 1993 - August 6, 1997
ING BARING (U.S.) SECURITIES, INC.
July 30, 1990 - February 25, 1993
GOLDMAN SACHS & CO. LLC
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
Series 7TO
Date: 3/20/2024
General Securities Representative ExaminationCurrent Firm
BOC INTERNATIONAL (USA) INC.
CRD#: 132919 / SEC#: , 8-66662
Contact information
Documents
Direct owners and executive officers
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.
