Taihwa T. Ho
Professional summary
Taihwa Terry Ho was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Taihwa is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Taihwa had worked at 8 firms, which includes GREAT EASTERN SECURITIES INC., EMPIRE INVESTMENT INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, L. F. ROTHSCHILD & CO. INCORPORATED, MOORE & SCHLEY CAMERON & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2002 - March 12, 2004
GREAT EASTERN SECURITIES, INC.
January 15, 1996 - September 29, 1998
EMPIRE INVESTMENT INC.
July 31, 1993 - June 22, 1995
CITIGROUP GLOBAL MARKETS INC.
September 17, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
September 24, 1990 - September 4, 1991
UBS FINANCIAL SERVICES INC.
May 6, 1988 - September 24, 1990
LEHMAN BROTHERS INC.
October 1, 1984 - May 26, 1988
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1982 - September 27, 1984
LEHMAN BROTHERS INC.
September 4, 1979 - September 10, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
October 3, 1977 - September 13, 1979
MOORE & SCHLEY, CAMERON & CO.
State Registrations and Notice Filings
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Exams
Current Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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