Honetta C. Kao
Professional summary
Honetta C Kao was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Honetta is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, Honetta had worked at 5 firms, which includes WINDSOR STREET CAPITAL LP, CALDWELL INTERNATIONAL SECURITIES, BUCKMAN BUCKMAN & REID INC., JOHN THOMAS FINANCIAL, ROCKWELL SECURITIES LLC.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2014 - April 23, 2015
WINDSOR STREET CAPITAL, LP
January 10, 2013 - November 11, 2014
CALDWELL INTERNATIONAL SECURITIES
October 10, 2012 - January 4, 2013
WINDSOR STREET CAPITAL, LP
November 22, 2010 - October 3, 2012
BUCKMAN, BUCKMAN & REID, INC.
October 29, 2010 - November 22, 2010
JOHN THOMAS FINANCIAL
March 23, 2010 - October 11, 2010
ROCKWELL SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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