Steven P. Kao
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.
Steven P Kao, who also goes by Steven Peter Kao, Steven Kao, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2013. Steven had worked at 4 firms and has passed the Series 66, Series 7TO, 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
October 28, 2021 - June 21, 2022
SPC
October 28, 2021 - June 21, 2022
SIGMA FINANCIAL CORPORATION
January 7, 2019 - November 19, 2021
MORGAN STANLEY
December 20, 2018 - November 19, 2021
MORGAN STANLEY
July 1, 2013 - August 26, 2014
WTS PROPRIETARY TRADING GROUP LLC
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 7TO
Date: 12/20/2018
General Securities Representative ExaminationSeries 56
Date: 6/29/2013
Proprietary Trader Qualification ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
