Alexis S. Ho
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.
Alexis Steven Ho, who also goes by Alex Ho, was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 1997. Alexis had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2019 - December 19, 2022
CHINA RENAISSANCE SECURITIES (US) INC.
April 10, 2018 - August 9, 2019
CGS INTERNATIONAL SECURITIES USA, INC.
September 28, 2016 - March 29, 2018
MIZUHO SECURITIES USA LLC
October 6, 2003 - February 28, 2015
CITIGROUP GLOBAL MARKETS INC.
November 16, 2000 - December 2, 2002
COWEN AND COMPANY
June 29, 1998 - January 4, 1999
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 28, 1997 - September 2, 1997
SBC WARBURG, INC.
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
CHINA RENAISSANCE SECURITIES (US) INC.
CRD#: 166318 / SEC#: , 8-69197
Contact information
FINRA licenses (31 States and Territories)
Documents
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.
