Karen Siu Ing Ho

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2008 → 06/2020
  Nationwide Securities, Inc.
  Houston, TX
• 08/2008 → 06/2020
  Nationwide
  Houston, TX
• 06/2020 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2008-08-01 → 2020-07-01
  Nationwide Securities, Llc
  Houston, TX
  Houston, TX
  Houston, TX
  Spring, TX
  San Antonio, TX
  Spring, TX
  Spring, TX
  Richmond, TX
• 2002-05-22 → 2008-08-01
  1717 Capital Management Company
  Houston, TX
  Houston, TX
• 2006-01-01 → 2007-10-01
  Wealth Development Strategies Investment Advisory, Inc.
  Houston, TX
• 2003-01-13 → 2005-12-31
  Wealth Development Strategies Investment Advisory, Inc.
  Houston, TX

Other Businesses

FIXED INSURANCE-BANNER LIC POSITION: Agent NATURE: Fixed life insurance products. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/11/2010 ADDRESS: 3260 Holly Hall St 3260 Holly Hall St, Houston TX 77054-4146, United States DESCRIPTION: Assess client need, prepare illustrations, present solution to need, application through placing the business. KAREN HO AGENCY, Is Investment Related, DBA, Financial Professional, 06/28/2020,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-12-12
• S63 Uniform Securities Agent State Law Examination
  2000-10-13

Designations

• Certified Financial Planner