Kerry S. Chow
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.
Kerry Suey Ting Chow, who also goes by Kerry Sueyting Chow, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1996. Kerry had worked at 1 firm and has passed the Series 38 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 1996 - February 9, 2000
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
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 38
Date: 6/27/1996
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
CRD#: 38108 / SEC#: , 8-48233
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE CAPITAL MARKETS CANADA LTD. (FORMERLY ORION SECURITIES INC.) | SHAREHOLDER (PARENT COMPANY) | |
| ALTARAS, ANDRE YEHUDA | CHIEF OPERATING OFFICER (12/2015) | 5625662 |
| CONAHAN, JAMES S | CFO/FINOP | 2538695 |
| CRISTALL, DANIEL JOHN | DIRECTOR | 6254685 |
| DOYLE, JAMES DAVID TATE | DIRECTOR | 7151466 |
| HEBERT-SEYNETT, CHARLES | SUPERVISORY PRINCIPAL | 6620102 |
| ROZIER, STEPHANE | DIRECTOR | 7198309 |
| WONG, AUGUSTINE MING | CHIEF COMPLIANCE OFFICER | 4682800 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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