Ethan W. Ho

KALA CAPITAL

Kailua, HI

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CRD#: 6059075

Professional summary

Ethan William Stewart Ho, CFP® is a registered financial advisor currently at KALA CAPITAL located in Kailua, Hawaii.

Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Ethan has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)Name of the other business: Kala Insurance, LLC Whether the business is investment-related: Yes. Address of the other business: 336A Keaniani St., Kailua, HI 96734 Nature of the other business: Insurance Services Your position, title, or relationship with the other business: Owner & CEO The start date of your relationship: 03/01/2021 The approximate number of hours/month you devote to the other business: 3 The number of hours you devote to the other business during securities trading hours: 3 Briefly describe your duties relating to the other business: Sale of insurance products. (2)Name of the other business: National Eagle Scout Association Whether the business is investment-related: No Address of the other business: 42 Puiwa Road Honolulu, HI 96817 Nature of the other business: Community Activity Your position, title, or relationship with the other business: Co-Chair The start date of your relationship: 01/01/18 The approximate number of hours/month you devote to the other business: 1 - 5 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: Assist in spreading awareness about NESA and support local Boy Scouts through various service projects.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan William Stewart Ho's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

February 8, 2021 - Present

KALA CAPITAL

RIA

CRD#: 312316

Kailua, HI

Past

December 15, 2015 - February 8, 2021

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

September 4, 2013 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

AIEA, HI

Past

January 1, 2013 - February 8, 2021

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

AIEA, HI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Hawaii
(2/8/2021)

IAR

Texas
(8/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/3/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2012

General Securities Representative Examination

Current Firm

KALA CAPITAL

KALA CAPITAL | KALA CAPITAL PARTNERS, LLC

CRD#: 312316 / SEC#: 801-120284

RIA

Registered Investment Advisory firm - (1/25/2022 Terminated)

Hawaii

Registered Investment Advisory firm - (1/19/2022 Approved)

Texas

Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Kailua, HI

Mailing Address

Phone number

(808) 769-6886

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	229
AUM (Assets Under Management)	$ 18,137,701

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.

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Ethan W. Ho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan William Stewart Ho's CRS (Customer Relationship Summary).

Certified licenses

Experience

KALA CAPITAL

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/27/2012

Current Firm

KALA CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KALA CAPITAL

TRUST BUT VERIFY

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