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ROGER KUANG YAO HO
ROGER K HO, ROGER KWANG YAO HO
CRD#: 4300902
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1595 SLOAT BLVD
SAN FRANCISCO, CA 94132
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)2 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - Present (14 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2001 - 2007 (5 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2007 (3 years)
License(s)

State Registrations

B
Arizona 1/14/2014

B
New York 12/13/2013

B
California 1/3/2011

B
Utah 6/5/2015

IA
California 1/3/2011

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)
1595 SLOAT BLVD, SAN FRANCISCO, CA 94132
Registered with this firm since 1/3/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1595 SLOAT BLVD, SAN FRANCISCO, CA 94132
Registered with this firm since 1/3/2011

Previous Registration(s)
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IA
06/03/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
06/02/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
IA
05/29/2007 - 06/29/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
05/29/2007 - 06/29/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
IA
10/28/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN FRANCISCO, CA
B
07/09/2001 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN FRANCISCO, CA
B
03/13/2001 - 06/19/2001 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
B
01/12/2001 - 03/21/2001 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.