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LEO PUI HONG WAI
Leo Pui Hong Wai, Leo P Wai, Leo Wai, Pui Hong Wai, Pui Wai
CRD#: 7156924
IA
B
CUSO FINANCIAL SERVICES, L.P.CRD#: 42132 1520 W COLORADO BLVD
Pasadena, CA 91105
Pasadena, CA 91105
0
Disclosures
3
Years of Experience
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State Registrations
B
California 9/27/2023
IA
California 12/4/2023
SRO Registrations
B
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IA
Registered with this firm since 12/4/2023
B
Registered with this firm since 9/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/23/2021 - 03/18/2022 | ALHAMBRA, CA | |
B | 08/27/2019 - 04/14/2021 | ALHAMBRA, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.