Cary Yiu-kong Ho, who also goes by Cary Y Ho, is a registered financial professional 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.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
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STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (1)
New York (12/3/2019)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CVC FUNDING, LLC (#277056)
712 Fifth Avenue Suite 45b2, New York, NY, 10019
12/3/2019 - Current
PREVIOUS EMPLOYERS (2)
NOMURA SECURITIES INTERNATIONAL, INC. (#4297)
1/23/2013 - 1/2/2018
New York, NY
CREDIT SUISSE SECURITIES (USA) LLC (#816)
3/23/2001 - 12/31/2008
New York, NY
Cary Yiu-kong Ho
Experience: 18 years / 3 firms
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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