KH
Khoa X. Ho
ARIEL DISTRIBUTORS
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 4261146
KH
Professional summary
Khoa Xuan Ho is a registered financial professional currently at ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.
Khoa is registered as a RR (Registered Representative) and started their career in finance in 2000. Khoa has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Khoa Xuan Ho's 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®
NoneExperience
Current
October 21, 2021 - Present
ARIEL DISTRIBUTORS, LLC
Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601Office #2: 200 East Randolph Street Suite 2900, Chicago, IL 60601BD
CRD#: 38333
Chicago, IL
Past
May 3, 2001 - May 1, 2020
ARIEL DISTRIBUTORS, LLC
BD
CRD#: 38333
CHICAGO, IL
Past
October 5, 2000 - April 10, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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
Alabama(10/21/2021)
RR
Alaska(10/21/2021)
RR
Arizona(10/21/2021)
RR
Arkansas(10/21/2021)
RR
California(10/21/2021)
RR
Colorado(10/21/2021)
RR
Connecticut(10/21/2021)
RR
Delaware(10/21/2021)
RR
District of Columbia(10/21/2021)
RR
Florida(10/21/2021)
RR
Georgia(10/21/2021)
RR
Hawaii(10/21/2021)
RR
Idaho(10/21/2021)
RR
Illinois(10/21/2021)
RR
Indiana(10/21/2021)
RR
Iowa(10/21/2021)
RR
Kansas(10/21/2021)
RR
Kentucky(10/21/2021)
RR
Louisiana(10/21/2021)
RR
Maine(10/21/2021)
RR
Maryland(10/21/2021)
RR
Massachusetts(10/21/2021)
RR
Michigan(10/21/2021)
RR
Minnesota(10/21/2021)
RR
Mississippi(10/21/2021)
RR
Missouri(10/21/2021)
RR
Montana(10/21/2021)
RR
Nebraska(10/21/2021)
RR
Nevada(10/21/2021)
RR
New Hampshire(10/21/2021)
RR
New Jersey(10/21/2021)
RR
New Mexico(10/21/2021)
RR
New York(10/21/2021)
RR
North Carolina(10/21/2021)
RR
North Dakota(10/21/2021)
RR
Ohio(10/21/2021)
RR
Oklahoma(10/21/2021)
RR
Oregon(10/21/2021)
RR
Pennsylvania(10/21/2021)
RR
Puerto Rico(10/21/2021)
RR
Rhode Island(10/21/2021)
RR
South Carolina(10/21/2021)
RR
South Dakota(10/21/2021)
RR
Tennessee(10/21/2021)
RR
Texas(10/21/2021)
RR
Utah(10/21/2021)
RR
Vermont(10/21/2021)
RR
Virgin Islands(10/21/2021)
RR
Virginia(10/21/2021)
RR
Washington(10/21/2021)
RR
West Virginia(10/21/2021)
RR
Wisconsin(10/21/2021)
RR
Wyoming(10/21/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AD
ARIEL DISTRIBUTORS, LLC
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC
CRD#: 38333 / SEC#: , 8-48238
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Phone number
(312) 726-0140
Established
Delaware since 10/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARIEL INVESTMENTS HOLDING COMPANY, LLC | SOLE UNITHOLDER | |
| CALDERON, CARLOS ESTUARDO | SENIOR VICE PRESIDENT, FINANCE | 6864114 |
| CAMPBELL, ROBERT NMN | FINOP, PFO, POO | 1349154 |
| FOX, WENDY DEVORAH | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4870574 |
| ORLOWSKI, BONNIE ELIZABETH | PRESIDENT, CHAIRMAN, MANAGER | 3121598 |
| RODRIGUEZ-AYALA, EMMA LEONOR | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 6183654 |
| WEBER, ROOPA PATEL | SENIOR VICE PRESIDENT, DIRECTOR OF MARKETING AND SPECIAL PROJECTS | 3026056 |
Disclosures
| Regulatory Event | 1 |
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.
