Robert C. 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.
Robert Cheng-yuan Ko, who also goes by Robert Cheng-yuan Ko, Robert Ko, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2011. Robert had worked at 3 firms and has passed the SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2019 - May 4, 2020
GREAT POINT CAPITAL LLC
September 21, 2017 - December 15, 2017
GREAT POINT CAPITAL LLC
November 7, 2014 - November 10, 2015
T3 TRADING GROUP, LLC
May 11, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP 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
Series 56
Date: 8/19/2011
Proprietary Trader Qualification ExaminationCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
