Xiaoshan Kou
Professional Summary
Xiaoshan Kou, who also goes by Tina XIaoshan Kou, Xiaoshan Kou, is a registered financial advisor currently at DELAWARE DISTRIBUTORS, L.P. located in Overland Park, Kansas. Xiaoshan is registered as a RR (Registered Representative) and started their career in finance in 2018. Xiaoshan has worked at 2 firms and has passed the Series 63, Series 86, Series 87, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tina Xiaoshan Kou, Xiaoshan Kou
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures on record.
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.
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
DELAWARE DISTRIBUTORS, L.P. | DELAWARE DISTRIBUTORS,INC.
Contact Information
Main Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354Mailing Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354Phone Number
(215) 255-1200Established
Delaware since 12/21/1994Firm Type
PartnershipFiscal Year End
MarchFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | — |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | — |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | — |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | — |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
Regulatory Event
3Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(10/24/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2018About the Series 87 examSRO Registrations
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Xiaoshan Kou's CRS (Customer Relationship Summary).
Similar Advisors
FELTL & COMPANY
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC