Hsing L. Jao
Professional summary
Hsing Long Jao was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hsing is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Hsing had worked at 7 firms, which includes MCGINN SMITH & CO. INC., PAULSON INVESTMENT COMPANY LLC, MERCER PARTNERS INCORPORATED, MILLENNIUM SECURITIES CORP., R.D. WHITE & CO. INC., LCP CAPITAL CORP., NORTHEAST SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2001 - November 15, 2002
MCGINN, SMITH & CO., INC.
May 24, 2001 - July 30, 2001
PAULSON INVESTMENT COMPANY LLC
March 2, 2000 - July 2, 2001
MERCER PARTNERS INCORPORATED
July 7, 1999 - March 7, 2000
MILLENNIUM SECURITIES CORP.
September 29, 1998 - July 28, 1999
R.D. WHITE & CO., INC.
April 28, 1997 - October 7, 1998
LCP CAPITAL CORP.
December 6, 1996 - May 2, 1997
NORTHEAST SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
MCGINN, SMITH & CO., INC.
CRD#: 8453 / SEC#: , 8-25374
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Arbitration | 5 |
| Bond | 1 |
Red Flags
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