Faming Han is a financial professional at TD Ameritrade, Inc., a broker-dealer with over 3,300 registered representatives nationwide. Faming has held an industry securities registration for 11 years and is subject to FINRA oversight.
Top AnswersFaming Han has not answered any questions on Financial Q&A.
|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.
|Td Waterhouse Investor Services Inc||7 years, 11 months||Apr 2006 - Present|
|Ameritrade, Inc.||8 years, 6 months||Sep 2005 - Present|
|Citigroup Global Transaction Services||1 year, 8 months||Jan 2004 - Sep 2005|
|Forum(Fireside) Fund Services, LLC||1 year, 8 months||Jan 2004 - Sep 2005|
|Forum Financial Group||1 year, 3 months||Sep 2002 - Dec 2003|
No Disclosures Found
|As of Date||
*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.
|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|
Types of Compensation Arrangements
- Other: PERCENTAGE OF ADVISORY FEE,PORTION OF ALL INCLUSIVE FEE