WH
William Hoh
H.C.WAINWRIGHT & CO.
New York, NY 10022
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CRD#: 3085218
WH
Professional summary
William Hoh is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view William Hoh's 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®
NoneExperience
Current
February 7, 2020 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 375
New York, NY
Past
December 11, 2018 - January 31, 2020
T.R. WINSTON & COMPANY, LLC
BD
CRD#: 10571
New York, NY
Past
February 8, 2017 - November 27, 2018
KENMAR SECURITIES, LLC
BD
CRD#: 171793
NEW YORK, NY
Past
September 30, 1998 - October 23, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(10/23/2020)
RR
Alaska(10/23/2020)
RR
Arizona(10/23/2020)
RR
Arkansas(10/23/2020)
RR
California(10/23/2020)
RR
Colorado(10/23/2020)
RR
Connecticut(10/23/2020)
RR
Delaware(10/23/2020)
RR
District of Columbia(10/23/2020)
RR
Florida(10/23/2020)
RR
Georgia(10/23/2020)
RR
Hawaii(10/23/2020)
RR
Idaho(10/23/2020)
RR
Illinois(10/23/2020)
RR
Indiana(10/23/2020)
RR
Iowa(10/23/2020)
RR
Kansas(10/23/2020)
RR
Kentucky(10/23/2020)
RR
Louisiana(10/23/2020)
RR
Maine(10/23/2020)
RR
Maryland(10/23/2020)
RR
Massachusetts(10/23/2020)
RR
Michigan(10/23/2020)
RR
Minnesota(10/23/2020)
RR
Mississippi(10/23/2020)
RR
Missouri(10/23/2020)
RR
Montana(10/23/2020)
RR
Nebraska(10/23/2020)
RR
Nevada(10/23/2020)
RR
New Hampshire(10/23/2020)
RR
New Jersey(10/23/2020)
RR
New Mexico(10/23/2020)
RR
New York(2/7/2020)
RR
North Carolina(10/23/2020)
RR
North Dakota(10/23/2020)
RR
Ohio(10/25/2020)
RR
Oklahoma(10/23/2020)
RR
Oregon(10/23/2020)
RR
Pennsylvania(10/23/2020)
RR
Puerto Rico(10/23/2020)
RR
Rhode Island(10/23/2020)
RR
South Carolina(10/23/2020)
RR
South Dakota(10/23/2020)
RR
Texas(10/23/2020)
RR
Utah(10/23/2020)
RR
Vermont(10/23/2020)
RR
Virgin Islands(10/23/2020)
RR
Virginia(10/23/2020)
RR
Washington(10/23/2020)
RR
West Virginia(10/23/2020)
RR
Wisconsin(10/23/2020)
RR
Wyoming(10/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 6/5/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
