Bryan Kao
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.
Bryan Kao, who also goes by Bryan Roberts, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 2009. Bryan had worked at 4 firms and has passed the Series 63, 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 9, 2020 - December 6, 2021
ALPS DISTRIBUTORS, INC.
January 8, 2020 - March 10, 2020
FORESIDE FUND SERVICES, LLC
December 16, 2014 - December 12, 2019
FORESIDE FUND SERVICES, LLC
April 14, 2011 - December 31, 2014
ALPS DISTRIBUTORS, INC.
July 8, 2010 - March 29, 2011
HFP CAPITAL MARKETS LLC
May 4, 2010 - July 9, 2010
JOHN THOMAS FINANCIAL
September 9, 2009 - September 11, 2009
HFP CAPITAL MARKETS 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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
