Hoi Lee Ko
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.
Hoi Lee Ko, who also goes by Hoi Lee Ko, Jack Ko, was a registered financial professional .
Hoi Lee is a previously registered financial professional and started their career in finance in 2006. Hoi Lee had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2014 - September 30, 2020
FIRST HEARTLAND CONSULTANTS, INC.
August 6, 2014 - September 30, 2020
FIRST HEARTLAND CAPITAL, INC.
March 18, 2010 - June 10, 2014
NATIONAL PLANNING CORPORATION
March 9, 2010 - June 10, 2014
NATIONAL PLANNING CORPORATION
January 4, 2010 - March 5, 2010
APW CAPITAL, INC.
November 6, 2008 - December 1, 2009
VALMARK SECURITIES, INC.
April 27, 2007 - November 5, 2008
CITY NATIONAL ROCHDALE
April 27, 2007 - November 5, 2008
CNR SECURITIES, LLC
August 1, 2006 - May 2, 2007
TD WEALTH MANAGEMENT SERVICES INC.
June 27, 2006 - May 2, 2007
TD WEALTH MANAGEMENT SERVICES INC.
Primary Firm SEC Registration
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
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 7TO
Date: 1/8/2024
General Securities Representative ExaminationCurrent Firm
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 9,231 |
| AUM (Assets Under Management) | $ 1,771,078,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 08/12/2024 | ||
| 12/07/2023 |
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.
