Suk H. Ko
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.
Suk Hun Ko, who also goes by John Ko, was a registered financial advisor .
Suk is a previously registered financial advisor and started their career in finance in 1997. Suk had worked at 4 firms and has passed the Series 66, Series 63 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
June 7, 2002 - October 18, 2002
NATIONAL SECURITIES CORPORATION
February 27, 2001 - May 21, 2002
UBS FINANCIAL SERVICES INC.
October 1, 1999 - May 21, 2002
UBS FINANCIAL SERVICES INC.
June 4, 1998 - October 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 1997 - March 30, 1998
THE BOSTON GROUP
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
