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YH

Yi-hsin Ho

INTEGRAL FINANCIAL LLC
Cupertino, CA 95014
Some features on this profile are disabled
CRD#: 7383809
YH

Professional summary

Yi-hsin Ho, who also goes by Ethan Ho, is a registered financial professional currently at INTEGRAL FINANCIAL LLC located in Cupertino, California.

Yi-hsin is registered as a RR (Registered Representative) and started their career in finance in 2021. Yi-hsin has worked at 1 firm and has passed the Series 63, SIE and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ethan Ho

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 Yi-hsin 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

June 24, 2021 - Present

INTEGRAL FINANCIAL LLC

Office #1: 10054 Pasadena Ave., Cupertino, CA 95014
RIA
BD
CRD#: 120343
Cupertino, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/3/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/24/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/10/2021
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INTEGRAL FINANCIAL LLC
INTEGRAL FINANCIAL LLC

CRD#: 120343 / SEC#: , 8-65284

California
Registered Investment Advisory firm - SEC (1/1/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
10054 Pasadena Ave., Cupertino, CA 95014
Mailing Address
10054 Pasadena Ave., Cupertino, CA 95014
Phone number
(408) 996-1118
Established
California since 02/08/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
1

FINRA licenses (5 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, WEIMINGCHIEF FINANCIAL OFFICER2692573
HO, WEIMINGCHIEF COMPLIANCE OFFICER2692573
CHOI, YEEWING ENIDPRESIDENT & CHIEF OPERATIONS OFFICER2999698
LUI, PAULLLC MEMBER

Disclosures

Regulatory Event2
Arbitration1

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

INTEGRAL FINANCIAL LLC

CRD#: 120343Cupertino, CA 95014

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