RK
Randy L. Ko
CP INVESTMENTS
New York, NY 10019
Some features on this profile are disabled
CRD#: 4415467
RK
Professional summary
Randy Li Ko is a registered financial professional currently at CP INVESTMENTS, LLC located in New York, New York.
Randy is registered as a RR (Registered Representative) and started their career in finance in 2003. Randy has worked at 4 firms and has passed the Series 63, SIE and Series 7 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 Randy Li Ko'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
September 27, 2012 - Present
CP INVESTMENTS, LLC
Office #1: 1370 Avenue Of The Americas 30th Floor, New York, NY 10019BD
CRD#: 24029
New York, NY
Past
January 7, 2011 - December 5, 2011
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
October 19, 2009 - October 19, 2010
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
December 8, 2003 - May 14, 2004
UBS SECURITIES LLC
BD
CRD#: 7654
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(8/30/2013)
RR
Alaska(8/30/2013)
RR
Arizona(8/30/2013)
RR
Arkansas(8/30/2013)
RR
California(9/27/2012)
RR
Colorado(8/30/2013)
RR
Connecticut(8/30/2013)
RR
Delaware(8/30/2013)
RR
District of Columbia(8/30/2013)
RR
Florida(8/30/2013)
RR
Georgia(8/30/2013)
RR
Hawaii(8/30/2013)
RR
Idaho(8/30/2013)
RR
Illinois(8/30/2013)
RR
Indiana(8/30/2013)
RR
Iowa(8/30/2013)
RR
Kansas(8/30/2013)
RR
Kentucky(8/30/2013)
RR
Louisiana(8/30/2013)
RR
Maine(8/30/2013)
RR
Maryland(8/30/2013)
RR
Massachusetts(8/30/2013)
RR
Michigan(8/30/2013)
RR
Minnesota(8/30/2013)
RR
Mississippi(8/30/2013)
RR
Missouri(8/30/2013)
RR
Montana(8/30/2013)
RR
Nebraska(8/30/2013)
RR
Nevada(8/30/2013)
RR
New Hampshire(8/30/2013)
RR
New Jersey(8/30/2013)
RR
New Mexico(8/30/2013)
RR
New York(8/30/2013)
RR
North Carolina(9/4/2013)
RR
North Dakota(8/30/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(8/30/2013)
RR
Oregon(8/30/2013)
RR
Pennsylvania(8/30/2013)
RR
Rhode Island(8/30/2013)
RR
South Carolina(8/30/2013)
RR
South Dakota(8/30/2013)
RR
Tennessee(9/3/2013)
RR
Texas(8/30/2013)
RR
Utah(8/30/2013)
RR
Vermont(8/30/2013)
RR
Virginia(8/30/2013)
RR
Washington(8/30/2013)
RR
West Virginia(8/30/2013)
RR
Wisconsin(8/30/2013)
RR
Wyoming(8/30/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CP INVESTMENTS, LLC
CANYON PARTNERS INCORPORATED | RATHGAR SECURITIES INC. | CP INVESTMENTS, LLC | CP INVESTMENTS INCORPORATED | COLDWATER SECURITIES INCORPORATED
CRD#: 24029 / SEC#: , 8-40862
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2000 Avenue Of The Stars 11th Floor, Los Angeles, CA 90067-4700
Mailing Address
2000 Avenue Of The Stars 11th Floor, Los Angeles, CA 90067-4700
Phone number
(310) 272-1000
Established
California since 01/30/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
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.
