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Information

Firm:
Type: Registered Representative
Description

Faming Han is a financial professional at TD Ameritrade, Inc., a broker-dealer with over 3,350 registered representatives nationwide. Faming has held an industry securities registration for 11 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Faming Han has not answered any questions on Financial Q&A.

Top Guides

Faming Han has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Td Waterhouse Investor Services Inc 8 years Apr 2006 - Present
Ameritrade, Inc. 8 years, 7 months Sep 2005 - Present
Forum(Fireside) Fund Services, LLC 1 year, 8 months Jan 2004 - Sep 2005
Citigroup Global Transaction Services 1 year, 8 months Jan 2004 - Sep 2005
Forum Financial Group 1 year, 3 months Sep 2002 - Dec 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
10/23/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 11/11/2005
Uniform Securities Agent State Law Examination Series 63 10/27/2005
Uniform Combined State Law Examination Series 66 05/11/2001
General Securities Representative Examination Series 7 04/11/2001

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Other: PERCENTAGE OF ADVISORY FEE,PORTION OF ALL INCLUSIVE FEE