Ka-ming F. Law
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.
Ka-ming Francis Law, who also goes by Kaming Francis Law, was a registered financial professional .
Ka-ming is a previously registered financial professional and started their career in finance in 2002. Ka-ming had worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2025 - April 1, 2026
WISE US ASSETS INC
December 16, 2002 - October 7, 2021
SANTANDER INVESTMENT 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
Series 99TO
Date: 1/30/2024
Operations Professional ExaminationCurrent Firm
WISE US ASSETS INC
CRD#: 329919 / SEC#: , 8-71239
Contact information
FINRA licenses (50 States and Territories)
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.
