Connie K. Chung
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Connie Ka Man Ho Chung, who also goes by Connie K.m. Ho, Connie Ka Man Ho, was a registered financial advisor .
Connie is a previously registered financial advisor and started their career in finance in 2003. Connie had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2006 - October 22, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 9, 2003 - October 22, 2015
TD AMERITRADE, INC.
September 5, 2003 - October 22, 2015
TD AMERITRADE, INC.
June 26, 2003 - August 21, 2003
CITICORP INVESTMENT SERVICES
March 31, 2003 - May 1, 2003
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
