Tol 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.
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2016 - January 4, 2017
MADISON PAIGE SECURITIES LLC
March 23, 2016 - June 21, 2017
LPE SECURITIES, LLC
October 14, 2015 - December 15, 2015
KGS-ALPHA CAPITAL MARKETS, L.P.
June 9, 2014 - September 8, 2015
CANTOR FITZGERALD & CO.
October 11, 2011 - June 10, 2014
STERNE, AGEE & LEACH, INC.
January 3, 2011 - August 11, 2011
KNIGHT CAPITAL AMERICAS, L.P.
August 2, 2010 - January 3, 2011
KNIGHT LIBERTAS LLC
August 18, 2006 - December 31, 2008
DEUTSCHE BANK SECURITIES INC.
May 25, 2006 - August 14, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2005 - May 19, 2006
B. RILEY SECURITIES, 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
MADISON PAIGE SECURITIES LLC
CRD#: 226538 / SEC#: , 8-69621
Contact information
FINRA licenses (1 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.
