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David Chiching Ho

CRD# 2508954·Registered 1994 - 2015
Previously Registered: Being a previously registered professional could mean that David 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.

Professional Summary

David Chiching Ho, who also goes by David Ho, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1994 - 2015. David had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David Ho

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

FPCM SECURITIES, LLC·CRD# 38283
BD
New York, NY
April 11, 2006 - August 31, 2015
ZURICH CAPITAL MARKETS SECURITIES, INC.·CRD# 42399
BD
New York, NY
April 2, 2002 - September 16, 2003
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
September 1, 1998 - March 13, 2002
SALOMON BROTHERS INC.·CRD# 740
BD
New York, NY
August 4, 1994 - September 1, 1998

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Current Firm

FS
FPCM SECURITIES, LLC

AMERICA FIRST PROGRAMS, L.L.C. | FPCM SECURITIES, LLC

CRD#: 38283 / SEC#: 8-48236
BD
Terminated by SEC on 10/30/2015

Contact Information

Established

Delaware since 02/14/1995

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FPCM HOLDING, LLCOWNER—
ALVAREZ, KAREN LOUCFO/FINOP4044938
LEWIS, ROBERT RICHARDCEO/EXEC REP/AMLCO/CCO1769980
LIEBERMAN, MARK FREDERICPRESIDENT1407862

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2004About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Nov 2000About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Aug 1994About the Series 7 exam

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CRS (Client Relationship Summary)

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

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