Ching L. Hon
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.
Ching Lou Hon, who also goes by Ching L Goh, Ching Lou Goh, Ching Goh, Jennie Goh, Ching Hon, Jennie Hon, Ching Mei Lou, was a registered financial professional .
Ching is a previously registered financial professional and started their career in finance in 1999. Ching had worked at 10 firms and has passed the Series 66, 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
August 29, 2019 - January 21, 2022
CHARLES SCHWAB & CO., INC.
August 29, 2019 - January 21, 2022
CHARLES SCHWAB & CO., INC.
September 11, 2014 - May 16, 2019
J.P. MORGAN SECURITIES LLC
September 4, 2014 - May 16, 2019
J.P. MORGAN SECURITIES LLC
December 9, 2009 - September 18, 2012
CHASE INVESTMENT SERVICES CORP.
December 9, 2009 - September 18, 2012
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - September 17, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - September 17, 2008
CITIGROUP GLOBAL MARKETS INC.
April 19, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 1, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 20, 2004 - August 4, 2005
UCB INVESTMENT SERVICES, INC.
March 23, 2004 - November 8, 2004
WAMU INVESTMENTS, INC.
November 12, 2003 - April 22, 2004
AVANTAX INVESTMENT SERVICES, INC.
May 9, 2001 - January 11, 2002
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 4, 1999 - April 30, 2001
FORESIDE FUNDS DISTRIBUTORS LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
