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SH

Shih-wei Ho

LORD ABBETT DISTRIBUTOR LLC
JERSEY CITY, NJ 07302
Some features on this profile are disabled
CRD#: 5146707
SH

Professional summary

Shih-wei Ho, who also goes by David Ho, is a registered financial professional currently at LORD ABBETT DISTRIBUTOR LLC located in Jersey City, New Jersey.

Shih-wei is registered as a RR (Registered Representative) and started their career in finance in 2006. Shih-wei has worked at 3 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Ho

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shih-wei Ho's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 2, 2017 - Present

LORD ABBETT DISTRIBUTOR LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302
BD
CRD#: 530
JERSEY CITY, NJ
Past

June 22, 2009 - September 11, 2017

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 25, 2007 - April 22, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 28, 2006 - June 7, 2007

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
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
New Jersey
(10/2/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/2/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/25/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LORD ABBETT DISTRIBUTOR LLC
LORD ABBETT DISTRIBUTOR LLC
LORD ABBETT DISTRIBUTOR LLC | LORD, ABBETT & CO.

CRD#: 530 / SEC#: , 8-216

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
30 Hudson Street, Jersey City, NJ 07302-4804
Phone number
(888) 522-2388
Established
New York since 06/06/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LORD, ABBETT & CO. LLCMEMBER
PAONE, FRANCIS VINCENT IIICHIEF EXECUTIVE OFFICER3135499
PEREIRA, ANTONIO NCHIEF FINANCIAL OFFICER5662445
SHETH, KUNJANCHIEF COMPLIANCE OFFICER4884218
STUZIN, RANDOLPH ARTHURCHIEF LEGAL OFFICER4645056

Disclosures

Regulatory Event3

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.

Company Information

LORD ABBETT DISTRIBUTOR LLC

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530Jersey City, NJ 07302

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