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HJ

Hsing Long Jao

CRD# 2789544·Registered 1996 - 2002
Barred: Hsing Long Jao was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Hsing Long Jao, who also goes by Hsinglong Anthony Jao, Hsinglong Jao, Hsling Long Jao, Hslinglong Anthony Jao, Hslinglong Tony Jao, Hslinglong Jao, Tony Jao, was a registered financial advisor. Hsing was a previously registered financial professional and started their career in finance 1996 - 2002. Hsing had worked at 7 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hsinglong Anthony Jao, Hsinglong Jao, Hsling Long Jao, Hslinglong Anthony Jao, Hslinglong Tony Jao, Hslinglong Jao, Tony Jao

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

MCGINN, SMITH & CO., INC.·CRD# 8453
BD
Albany, NY
July 31, 2001 - November 15, 2002
PAULSON INVESTMENT COMPANY LLC·CRD# 5670
BD
Portland, OR
May 24, 2001 - July 30, 2001
MERCER PARTNERS INCORPORATED·CRD# 44925
BD
New York, NY
March 2, 2000 - July 2, 2001
MILLENNIUM SECURITIES CORP.·CRD# 31695
BD
New York, NY
July 7, 1999 - March 7, 2000
R.D. WHITE & CO., INC.·CRD# 7011
BD
New York, NY
September 29, 1998 - July 28, 1999
LCP CAPITAL CORP.·CRD# 14469
BD
Staten Island, NY
April 28, 1997 - October 7, 1998
NORTHEAST SECURITIES, LLC·CRD# 25996
BD
Mitchelfield, NY
December 6, 1996 - May 2, 1997

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Current Firm

MS
MCGINN, SMITH & CO., INC.

MCGINN, SMITH & CO., INC.

CRD#: 8453 / SEC#: 8-25374
BD
Cancelled by SEC on 09/28/2023

Contact Information

Established

New York since 09/04/1980

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SMITH, DAVID LEEPRESIDENT, SENIOR REGISTERED OPTION PRINCIPAL, COMPLIANCE REGISTERED OPTION PRINCIPAL, CHIEF COMPLIANCE OFFICER427284
MCGINN, TIMOTHY MICHAELCHAIRMAN OF THE BOARD813935
LIVINGSTON, THOMAS EDWARDSENIOR VICE PRESIDENT864264
SHEA, BRIAN EDWARDCHIEF FINANCIAL OFFICER2570872

Disclosures

Regulatory Event

18

Civil Event

1

Arbitration

5

Bond

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1996About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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