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JL

Jaoshiang Luo

Some features on this profile are disabled
CRD#: 2143876
JL

Professional summary

Jaoshiang Luo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jaoshiang is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Jaoshiang had worked at 11 firms, which includes COLUMBUS ADVISORY GROUP LTD., CLARK DODGE & CO. INC., ANDREW GARRETT INC., BUCKMAN BUCKMAN & REID INC., WESTROCK ADVISORS INC., SANDGRAIN SECURITIES LLC, HAPOALIM SECURITIES USA INC., STUART COLEMAN & CO. INC., JOSEPHTHAL & CO. INC., THE STAMFORD COMPANY INC., NETWORK 1 FINANCIAL SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rudolph Luo | Rudy Luo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2014 - December 23, 2014

COLUMBUS ADVISORY GROUP, LTD.

BD
CRD#: 126331
NEW YORK, NY
Past

May 21, 2013 - October 30, 2014

CLARK DODGE & CO., INC.

BD
CRD#: 23288
GARDEN CITY, NY
Past

October 3, 2012 - May 17, 2013

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

October 13, 2010 - October 3, 2012

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
NEW YORK, NY
Past

April 22, 2002 - October 8, 2010

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

December 4, 2000 - April 26, 2002

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

June 1, 1999 - November 28, 2000

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

November 26, 1996 - June 1, 1999

STUART, COLEMAN & CO., INC.

BD
CRD#: 8642
NEW YORK, NY
Past

September 28, 1994 - November 22, 1996

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

February 25, 1992 - October 5, 1994

THE STAMFORD COMPANY, INC.

BD
CRD#: 23725
Past

October 23, 1991 - March 3, 1992

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
RED BANK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/26/1991
National Commodity Futures Examination

Current Firm

CA
COLUMBUS ADVISORY GROUP, LTD.
COLUMBUS ADVISORY GROUP, LTD. | OLYMPIA ASSET MANAGEMENT,LTD. | MURPHY FINANCIAL GROUP, INC.

CRD#: 126331 / SEC#: , 8-65875

BD
Terminated by SEC on 01/31/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/11/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MURPHY, MICHAEL PATRICKFOUNDING PARTNER2596905
BUNSIS, MICHAEL OWENFINANCIAL OPERATIONS MNGR.2756066
MCNULTY, MICHAEL PATRICKCCO2958550
MCNULTY, MICHAEL PATRICKINTERIM CEO

Disclosures

Regulatory Event4
Arbitration2

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

COLUMBUS ADVISORY GROUP, LTD.

CRD#: 126331

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