Roger Kao
Professional summary
Roger Kao, who also goes by Yueh L Kao, is a registered financial professional currently at GTN AMERICAS FINANCIAL SERVICES located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 2013. Roger has worked at 3 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Kao's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2025 - Present
GTN AMERICAS FINANCIAL SERVICES
Office #1: 32 Old Slip Suite 3200c, New York, NY 10005March 8, 2023 - July 17, 2023
BOFA SECURITIES, INC.
June 10, 2013 - December 19, 2022
SMBC NIKKO SECURITIES AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GTN AMERICAS FINANCIAL SERVICES
CRD#: 315499 / SEC#: , 8-70748
Contact information
FINRA licenses (15 States and Territories)
Documents
Red Flags
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