Coleman H. Kao
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.
Coleman Hongman Kao, who also goes by Coleman Kao, was a registered financial advisor .
Coleman is a previously registered financial advisor and started their career in finance in 1993. Coleman had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
August 31, 2001 - August 12, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - August 12, 2002
WELLS FARGO INVESTMENTS, LLC
March 12, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 23, 2000 - March 8, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 6, 1998 - April 19, 1999
GUARANTY BROKERAGE SERVICES, INC.
January 31, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
October 13, 1995 - January 31, 1996
MARKETING ONE SECURITIES, INC.
November 29, 1993 - November 13, 1995
PRUCO SECURITIES, 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
Current Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
