Articles Tagged with John Tao

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John TaoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that Florida-based Ameriprise Financial Services broker/adviser John Tao has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tao (CRD# 2505955).

John Tao has spent 17 years in the securities industry and has been registered with Ameriprise Financial Services in Plantation, Florida since 2002. Previous registrations include IDS Life Insurance Company in Minneapolis, Minnesota (2002-2006) and Baraban Securities in Los Angeles, California (1995). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 13, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 6, 1995; and Series 7 (General Securities Representative Examination), which he obtained on August 2, 2002. He is a registered broker and investment adviser with seven US states: California, Florida, Hawaii, Illinois, Maryland, North Carolina, and Pennsylvania.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.