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CH

Cary Y. Ho

CVC FUNDING
NEW YORK, NY 10153
Some features on this profile are disabled
CRD#: 4219906
CH

Professional summary

Cary Yiu-kong Ho, who also goes by Cary Y Ho, is a registered financial professional currently at CVC FUNDING, LLC located in New York, New York.

Cary is registered as a RR (Registered Representative) and started their career in finance in 2001. Cary has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cary Y Ho

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) - BD

Click below to view Cary Yiu-kong Ho's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 3, 2019 - Present

CVC FUNDING, LLC

Office #1: 767 Fifth Avenue 14th Floor, New York, NY 10153
BD
CRD#: 277056
NEW YORK, NY
Past

January 23, 2013 - January 2, 2018

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

March 23, 2001 - December 31, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/21/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CVC FUNDING, LLC
CVC CAPITAL MARKETS | CVC FUNDING, LLC | CVC CREDIT PARTNERS 712, LLC

CRD#: 277056 / SEC#: , 8-69650

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

Main Address
767 Fifth Avenue 14th Floor, New York, NY 10153
Mailing Address
767 Fifth Avenue 14th Floor, New York, NY 10153
Phone number
(212) 506-3858
Established
Delaware since 06/03/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CVC CREDIT PARTNERS, LLCMANAGING MEMBER138528
HASSAN, HUWAIDACHIEF COMPLIANCE OFFICER4991095
RUTITSKIY, DMITRIYFINOP6117665
SQUIRE, ROBERT JOHNCEO/ PRESIDENT6367973

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

CVC FUNDING, LLC

CRD#: 277056New York, NY 10153

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