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TH

Tol Ho

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CRD#: 3137681
TH

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.

Tol Ho was a registered financial professional .

Tol is a previously registered financial professional and started their career in finance in 2005. Tol had worked at 10 firms and has passed the Series 63, 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 2016 - January 4, 2017

MADISON PAIGE SECURITIES LLC

BD
CRD#: 226538
New York, NY
Past

March 23, 2016 - June 21, 2017

LPE SECURITIES, LLC

BD
CRD#: 117851
New York, NY
Past

October 14, 2015 - December 15, 2015

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
NEW YORK, NY
Past

June 9, 2014 - September 8, 2015

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

October 11, 2011 - June 10, 2014

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

January 3, 2011 - August 11, 2011

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

August 2, 2010 - January 3, 2011

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
NEW YORK, NY
Past

August 18, 2006 - December 31, 2008

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 25, 2006 - August 14, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 3, 2005 - May 19, 2006

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2005
General Securities Representative Examination

Current Firm

MP
MADISON PAIGE SECURITIES LLC
MADISON PAIGE SECURITIES LLC

CRD#: 226538 / SEC#: , 8-69621

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
50 Main Street, Suite 1000, White Plains, NY 10606
Mailing Address
50 Main Street, Suite 1000, White Plains, NY 10606
Phone number
(267) 908-1401
Established
New York since 07/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FONTANILLA, DAVID AARONMEMBER4237116
PALMER, MICHAEL R.MEMBER4545584
ROTHENBERG, SHARI PCFO/FINOP6590875
RUSSIN, ROBERT J JR.CEO/CCO4875237

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.

Company Information

MADISON PAIGE SECURITIES LLC

CRD#: 226538

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