Steve W. Ha
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.
Steve Wai Ha was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1995. Steve had worked at 9 firms and has passed the Series 63, SIE, Series 55 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
November 27, 2013 - January 24, 2017
AMTD FINANCIAL MARKETS (USA) LLC
May 4, 2009 - January 25, 2013
CANTOR FITZGERALD & CO.
November 13, 2008 - March 25, 2009
CANTOR FITZGERALD & CO.
September 9, 2005 - January 29, 2008
PERSHING LLC
April 16, 2003 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
March 20, 1997 - November 11, 2002
HILL THOMPSON MAGID & CO., INC.
November 1, 1995 - February 18, 1997
TD AMERITRADE, INC.
September 5, 1995 - October 30, 1995
TOLUCA PACIFIC SECURITIES CORP.
July 13, 1995 - August 9, 1995
CORTLANDT CAPITAL CORPORATION
June 28, 1995 - August 4, 1995
PARAMOUNT INVESTMENTS INTERNATIONAL, 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 55
Date: 2/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
AMTD FINANCIAL MARKETS (USA) LLC
CRD#: 165313 / SEC#: , 8-69154
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
