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Detailed Report
PETER HO
CRD#: 6355666
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1285 Avenue of the Americas
New York, NY 10019
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - Present (10 years)2 FIRMS2025 - Present (<1 year)
Disclosure(s)
View By:
9/28/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/1/2016
B
Michigan 4/1/2016
B
Arizona 2/24/2025
B
New Jersey 8/14/2014
B
California 4/1/2016
IA
New Jersey 9/12/2014
B
Connecticut 4/1/2016
B
New York 9/11/2014
B
Connecticut 2/24/2025
IA
New York 6/16/2021
B
Delaware 4/1/2016
B
North Carolina 4/2/2016
B
Florida 4/1/2016
B
Pennsylvania 4/1/2016
B
Georgia 4/1/2016
B
Rhode Island 3/16/2023
B
Hawaii 2/21/2023
B
South Carolina 10/23/2024
B
Idaho 4/1/2016
B
Tennessee 5/8/2019
B
Illinois 12/21/2023
B
Texas 4/1/2016
B
Iowa 11/17/2022
IA
Texas 4/2/2020
B
Kansas 3/22/2023
B
Utah 4/1/2016
B
Louisiana 3/12/2018
B
Vermont 6/6/2016
B
Maine 4/1/2016
B
Vermont 2/24/2025
B
Maryland 4/1/2016
B
Virginia 9/22/2021
B
Massachusetts 4/1/2016
B
Virginia 2/24/2025

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, 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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1285 Avenue of the Americas, New York, NY 10019
Registered with this firm since 2/24/2025
IA
MORGAN STANLEY (CRD#:149777)
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530
Registered with this firm since 9/12/2014
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1285 Avenue of the Americas, New York, NY 10019
Registered with this firm since 2/24/2025
B
MORGAN STANLEY (CRD#:149777)
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530
Registered with this firm since 8/8/2014
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.