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RH

Rachel H. Ho

GOLD COAST SECURITIES
Thousand Oaks, CA 91360
Some features on this profile are disabled
CRD#: 6938467
RH

Professional summary

Rachel Hyun-young Ho is a registered financial professional currently at GOLD COAST SECURITIES, INC. located in Thousand Oaks, California.

Rachel is registered as a RR (Registered Representative) and started their career in finance in 2018. Rachel has worked at 1 firm and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rachel Hyun-young 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®
None

Experience

Current

August 13, 2018 - Present

GOLD COAST SECURITIES, INC.

Office #1: 275 E. Hillcrest Drive Suite 225, Thousand Oaks, CA 91360
RIA
BD
CRD#: 110925
Thousand Oaks, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GOLD COAST SECURITIES, INC.
GOLD COAST ADVISORY | GOLD COAST SECURITIES, INC.

CRD#: 110925 / SEC#: 801-60090, 8-53148

RIA
Registered Investment Advisory firm - SEC (12/10/2012 Terminated)
California
Registered Investment Advisory firm - SEC (8/23/2012 Approved)
Idaho
Registered Investment Advisory firm - SEC (9/12/2012 Approved)
Ohio
Registered Investment Advisory firm - SEC (6/26/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/6/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360
Mailing Address
275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360-8241
Phone number
(805) 496-3660
Established
Delaware since 01/17/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
11

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HO, TAE POMCEO/CFO/CLO/CHIEF COMPLIANCE OFFICER/DIRECTOR2857540
TAMANO, SALLY YIPSVP, COO, DIRECTOR1993133

Regulatory assets under management

Total Number of Accounts50
AUM (Assets Under Management)$ 37,393,957

Disclosures

Regulatory Event1

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.

Company Information

GOLD COAST SECURITIES, INC.

CRD#: 110925Thousand Oaks, CA 91360

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