Tae P. Ho

GOLD COAST SECURITIES

Thousand Oaks, CA 91360

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CRD#: 2857540

Professional summary

Tae Pom Ho is a registered financial advisor currently at GOLD COAST SECURITIES, INC. located in Thousand Oaks, California.

Tae is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tae has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tae Pom Ho's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Tae Pom Ho's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 23, 2003 - Present

GOLD COAST SECURITIES, INC.

Office #1: 275 E. Hillcrest Drive Suite 225, Thousand Oaks, CA 91360

RIA

CRD#: 110925

Thousand Oaks, CA

Current

May 31, 2001 - Present

GOLD COAST SECURITIES, INC.

Office #1: 275 E. Hillcrest Drive Suite 225, Thousand Oaks, CA 91360

RIA

CRD#: 110925

Thousand Oaks, CA

Past

August 20, 1999 - June 18, 2001

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

March 5, 1997 - July 9, 1999

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/12/2001)

IAR

California
(1/23/2003)

Washington
(6/27/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 27

Date: 2/26/2001

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/30/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/6/1998

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GOLD COAST SECURITIES, INC.

GOLD COAST ADVISORY | GOLD COAST SECURITIES, INC.

CRD#: 110925 / SEC#: 801-60090, 8-53148

RIA

Registered Investment Advisory firm - SEC (12/10/2012 Terminated)

California

Registered Investment Advisory firm - SEC (8/23/2012 Approved)

Idaho

Registered Investment Advisory firm - SEC (9/12/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/26/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/6/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360

Mailing Address

275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360-8241

Phone number

(805) 496-3660

Established

Delaware since 01/17/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HO, TAE POM	CEO/CFO/CLO/CHIEF COMPLIANCE OFFICER/DIRECTOR	2857540
TAMANO, SALLY YIP	SVP, COO, DIRECTOR	1993133

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 37,393,957

Disclosures

Regulatory Event

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.

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Tae P. Ho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tae Pom Ho's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Tae Pom Ho's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLD COAST SECURITIES, INC.

NATIONAL PLANNING CORPORATION

LONDON PACIFIC SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/1998

Series 63

Date: 3/10/1997

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/4/1997

Series 14

Date: 1/2/2023

Series 27

Date: 2/26/2001

Series 4

Date: 6/30/1998

Series 53

Date: 4/6/1998

Series 24

Date: 4/9/1997

FINRA

Current Firm

GOLD COAST SECURITIES, INC.

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GOLD COAST SECURITIES, INC.

TRUST BUT VERIFY

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