Eric 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.
Eric Soowoong Ho was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 2 firms and has passed the Series 66 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
October 18, 1999 - February 22, 2001
NATIONAL CLEARING CORP.
April 14, 1999 - July 27, 1999
PRUCO SECURITIES, LLC.
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
NATIONAL CLEARING CORP.
CRD#: 14343 / SEC#: , 8-30593
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 37 |
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.
