Thuan D. Ho
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.
Thuan Dang Ho, who also goes by Michael Dang Ho, was a registered financial professional .
Thuan is a previously registered financial professional and started their career in finance in 1996. Thuan had worked at 7 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2008 - December 31, 2012
GOLDEN BENEFICIAL SECURITIES CORPORATION
September 27, 2004 - June 16, 2008
RICHAVE FINANCIAL, INC.
January 2, 2004 - October 29, 2004
GOLDEN BENEFICIAL SECURITIES CORPORATION
August 14, 2002 - December 31, 2003
NT SECURITIES LLC
January 8, 2002 - August 1, 2002
RUSHMORE SECURITIES CORPORATION
January 16, 2001 - December 31, 2001
SUMMIT TRADING, INC.
August 28, 2000 - February 6, 2001
WHITE PACIFIC SECURITIES, INC.
September 26, 1996 - October 9, 2000
PROVIDENTIAL 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
GOLDEN BENEFICIAL SECURITIES CORPORATION
CRD#: 48029 / SEC#: , 8-52010
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
