Marjorie K. Hoh
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.
Marjorie Kathleen Hoh, who also goes by Marjorie K Hoh, was a registered financial professional .
Marjorie is a previously registered financial professional and started their career in finance in 1980. Marjorie had worked at 5 firms and has passed the Series 63, SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - December 1, 2016
CANTELLA & CO., INC.
May 31, 2002 - December 19, 2014
CANTELLA & CO., INC.
March 1, 1999 - December 1, 2016
CANTELLA & CO., INC.
October 6, 1989 - March 5, 1999
COORDINATED CAPITAL SECURITIES, INC.
September 23, 1986 - October 28, 1989
INVESTACORP, INC.
March 6, 1986 - October 7, 1986
FOCUS SECURITIES, INC.
May 15, 1980 - March 11, 1986
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
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 00
Date: 7/22/1969
General Securities Principal ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
