Kinfai Lo
Professional summary
Kinfai Lo, who also goes by Leo Lo, is a registered financial professional currently at CICC US SECURITIES, INC. located in New York, New York.
Kinfai is registered as a RR (Registered Representative) and started their career in finance in 1997. Kinfai has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kinfai Lo's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2010 - Present
CICC US SECURITIES, INC.
Office #1: 32nd Floor 280 Park Avenue, New York, NY, 10017Office #2: 280 Park Avenue 32nd Floor, New York, NY 10017January 27, 2005 - July 21, 2009
SPARX SECURITIES, USA, LLC
December 10, 1997 - December 22, 1999
AVANTAX INVESTMENT SERVICES, INC.
August 15, 1997 - December 10, 1997
TRUSTED SECURITIES ADVISORS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/26/2017)
(5/20/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CICC US SECURITIES, INC.
CRD#: 143221 / SEC#: , 8-67544
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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