Kenneth G. Jo
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.
Kenneth Gyunam Jo was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 79 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
July 3, 2015 - April 30, 2018
NMS CAPITAL ASSET MANAGEMENT, INC.
July 2, 2015 - April 30, 2018
HB SECURITIES, LLC
May 1, 2014 - April 27, 2015
B. RILEY ASSET MANAGEMENT, LLC
August 10, 2012 - April 16, 2014
B. RILEY & CO., LLC
July 26, 2012 - July 1, 2015
B. RILEY & CO., LLC
March 17, 2009 - August 9, 2012
J.P. MORGAN SECURITIES LLC
March 17, 2009 - August 9, 2012
J.P. MORGAN SECURITIES LLC
November 30, 2000 - April 14, 2009
UBS FINANCIAL SERVICES INC.
October 27, 2000 - April 14, 2009
UBS FINANCIAL SERVICES INC.
September 28, 1998 - November 6, 2000
MORGAN STANLEY DW INC.
May 3, 1995 - September 30, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NMS CAPITAL ASSET MANAGEMENT, INC.
CRD#: 149678 / SEC#: 801-70544
Contact information
Red Flags
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