Ryan Poh
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.
Ryan Poh, who also goes by Ryan Joseph Poh, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2011. Ryan had worked at 4 firms and has passed the Series 66, 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
May 22, 2015 - July 7, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 20, 2015 - July 7, 2016
TD AMERITRADE, INC.
May 18, 2015 - July 7, 2016
TD AMERITRADE, INC.
October 24, 2012 - March 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2012 - March 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2011 - October 24, 2012
VOYA FINANCIAL ADVISORS, INC.
September 15, 2011 - October 24, 2012
VOYA FINANCIAL ADVISORS, INC.
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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
