Yadong Kuo
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.
Yadong Kuo, who also goes by Frank Kuo, was a registered financial professional .
Yadong is a previously registered financial professional and started their career in finance in 1992. Yadong had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2003 - January 6, 2012
EMPIRE INVESTMENT INC.
April 6, 2001 - January 3, 2003
UNISE INVESTMENT CORP.
January 21, 2000 - March 9, 2001
MOMENTIX CAPITAL, INC.
September 30, 1992 - March 24, 2000
COLONIAL SECURITIES, INC.
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
EMPIRE INVESTMENT INC.
CRD#: 16763 / SEC#: , 8-33594
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WU, LEON SUN | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 6529899 |
Disclosures
| Regulatory Event | 4 |
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.
