Dung C. 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.
Dung Calvin Ho, who also goes by Calvin Ho, Dung C Ho, Dung D Ho, was a registered financial professional .
Dung is a previously registered financial professional and started their career in finance in 2006. Dung had worked at 6 firms and has passed the Series 66, 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
March 20, 2015 - April 9, 2015
TD AMERITRADE, INC.
March 17, 2015 - April 9, 2015
TD AMERITRADE, INC.
March 17, 2015 - April 9, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 22, 2013 - December 26, 2013
1ST GLOBAL ADVISORS INC
August 3, 2012 - December 26, 2013
1ST GLOBAL CAPITAL CORP.
June 15, 2010 - July 17, 2012
STRATEGIC ADVISERS LLC
June 7, 2010 - July 16, 2012
FIDELITY BROKERAGE SERVICES LLC
November 28, 2007 - September 1, 2009
STRATEGIC ADVISERS LLC
May 11, 2007 - September 1, 2009
FIDELITY BROKERAGE SERVICES LLC
July 17, 2006 - March 22, 2007
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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