Ran R. Chao
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.
Ran Ryan Chao was a registered financial professional .
Ran is a previously registered financial professional and started their career in finance in 2018. Ran had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2018 - April 13, 2023
M3 INVESTMENT GROUP LLC
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
M3 INVESTMENT GROUP LLC
CRD#: 108888 / SEC#: , 8-53097
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARRET C HOUSE REVOCABLE TRUST DATED JUNE 9, 2001 | CLASS C AND D OWNER | |
| HARDICK, RORY ALAN | OWNER, TRUSTEE OF INTEREST IN POSSESSION SETTLEMENT CREATED BY RORY HARDICK | 4327559 |
| HOUSE, GARRET CLAUDE | TRUSTEE OF GARRET C HOUSE REVOCABLE TRUST DATED JUNE 9, 2001 | 1735936 |
| SUTER, DONALD E | CLASS C OWNER, CEO, CFO | 2765488 |
| VALLACE, CHRISTOPHER JAMES SR | CLASS C OWNER | 2274577 |
| HRM TRUST | TRUST, CLASS C & D OWNER | |
| MEYER, ROBERT IAN | TRUSTEE OF HRM TRUST | 4786182 |
| THAKORE, TRISHUL VIPUL | CLASS D OWNER | 5817525 |
| AARON, MICHAEL A | CLASS D OWNER | 4279459 |
| ARDU, PINA | CLASS D OWNER | 6625861 |
| BRAZDA, TODD ANDREW | CLASS C OWNER | 5149615 |
| CONWAY, THOMAS DANIEL | CLASS C & D OWNER | 3039343 |
| CULVER, THOMAS CROMWELL | CLASS C OWNER | 5853242 |
| DANIEL P POEHLING IRREVOCABLE TRUST | CLASS C OWNER | |
| INTEREST IN POSSESSION TRUST OF RORY ALAN HARDICK AND PATRICIA ANN HARDICK | TRUST, CLASS C OWNER | |
| KIRA M. AND HUNTER P. SCHENK JOINT REVOCABLE TRUST | CLASS C OWNER | |
| MALLERIS, ANDREW JAMES | CHIEF COMPLIANCE OFFICER | 5959083 |
| MCCARNEY, HAROLD | CLASS D OWNER | 6625894 |
| PATEL, RISHI | CLASS D OWNER | 6625906 |
| POEHLING, DANIEL PAUL | TRUSTEE OF DANIEL P POEHLING IRREVOCABLE TRUST | 4433050 |
| POON, CHARADE SIN WAI | CLASS D OWNER | 7368721 |
| SCHEIDERICH, ELIZABETH ASHLEY | CLASS D OWNER | 6096714 |
| SCHENK, HUNTER PRESCOTT | HUNTER P. SCHENK REVOCABLE TRUST | 5319507 |
| ZHANG, ROBBIE LIANG | CLASS D OWNER | 7368795 |
Red Flags
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