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Detailed Report
DAVID SUK KO
BYONG S KO, BYONG SUK KO, DAVID B KO, DAVID BYONG SUK KO, DAVID S KO
CRD#: 2487060
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 135 S STATE COLLEGE BLVD STE 550
BREA, CA 92821
Registration History
19952000200520102015202020252 FIRMS2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2009 (14 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2009 (11 years)
Disclosure(s)
View By:
4/19/2016
Financial
Final
4/12/2016
Financial
Final
4/7/2009
Customer Dispute
Denied
11/29/2001
Customer Dispute
Settled
4/18/2000
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 7/27/2023
B
Massachusetts 3/20/2020
B
Alaska 5/1/2015
B
Minnesota 4/24/2009
B
Arizona 4/24/2009
B
Missouri 8/8/2023
B
Arkansas 10/31/2024
B
Nevada 1/21/2015
B
California 4/24/2009
B
New York 7/11/2023
IA
California 4/24/2009
B
North Carolina 5/25/2017
B
Colorado 7/11/2023
B
Oregon 8/20/2018
B
District of Columbia 6/20/2023
B
Pennsylvania 7/11/2023
B
Florida 4/24/2009
B
Tennessee 7/5/2023
B
Georgia 4/24/2009
IA
Texas 6/27/2014
B
Hawaii 7/26/2018
B
Texas 7/9/2014
B
Idaho 7/11/2023
B
Utah 7/3/2023
B
Illinois 7/12/2023
B
Virginia 4/27/2015
B
Iowa 7/31/2023
B
Washington 7/13/2023
B
Maryland 6/7/2023

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
135 S STATE COLLEGE BLVD STE 550, BREA, CA 92821
Registered with this firm since 4/24/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
135 S STATE COLLEGE BLVD STE 550, BREA, CA 92821
Registered with this firm since 4/24/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 04/30/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SEAL BEACH, CA
B
 05/11/1994 - 04/30/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SEAL BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.