Kevin C. Ta
Professional summary
Kevin Chieu Ta, who also goes by Kevin Chieu Ta, VI Chieu Ta, Vi Ta, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Houston, Texas.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2005. Kevin has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Chieu Ta's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2019 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 845 Texas Avenue Suite 3300, Houston, TX 77002February 28, 2018 - February 1, 2019
MOODY SECURITIES, LLC
January 1, 2010 - May 3, 2017
INVESCO ADVISERS, INC.
May 29, 2007 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
May 29, 2007 - May 3, 2017
INVESCO DISTRIBUTORS, INC.
April 2, 2007 - May 7, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 7, 2007
MORGAN STANLEY & CO. LLC
April 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
February 28, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2019)
Exams
FINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145Houston, TX 77002TRUST BUT VERIFY
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