Kiet T. Vo
Professional summary
Kiet Tuan Vo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kiet is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Kiet had worked at 6 firms, which includes HARVEST CAPITAL INVESTMENTS LLC, TRILLIUM BROKERAGE SERVICES LLC, FIS BROKERAGE & SECURITIES SERVICES LLC, RUMSON CAPITAL LLC, WORLDCO L.L.C., HEARTLAND SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2005 - October 27, 2006
HARVEST CAPITAL INVESTMENTS LLC
May 30, 2003 - July 28, 2004
TRILLIUM BROKERAGE SERVICES, LLC
March 3, 2003 - April 30, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
May 10, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
January 28, 2002 - May 17, 2002
WORLDCO, L.L.C.
February 8, 2000 - January 24, 2002
HEARTLAND SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
HARVEST CAPITAL INVESTMENTS LLC
CRD#: 40367 / SEC#: , 8-49017
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REAL ESTATE TECHNICAL ADVISORS | OWNER | |
| CRARY, EDWARD DESILVER JR | CHIEF COMPLIANCE OFFICER | 2225349 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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