Richard K. Cho
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.
Richard K Cho, who also goes by Richard K. Cho, Richard Kyunchaul Cho, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55 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 30, 2014 - November 30, 2016
AVATAR SECURITIES, LLC
March 21, 2011 - May 21, 2014
CHIMERA SECURITIES, LLC
June 11, 2010 - October 13, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
August 14, 2007 - May 17, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
February 21, 2006 - August 13, 2007
TAFFERER TRADING, LLC
December 8, 2004 - October 6, 2005
GENESIS SECURITIES, LLC
December 3, 2003 - October 25, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
January 10, 2003 - December 4, 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
Series 55
Date: 6/12/2006
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
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.
