Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shun? Claim Your ProfileShun Cai is a financial advisor with over 10 years of experience in the securities industry. Shun is currently registered with Smbc Nikko Securities America, Inc. in San Francisco, California. Shun has held previous positions with Transamerica Financial Advisors, Inc and Mizuho Securities USA Inc. Shun has passed the Series 63, SIE, Series 87, Series 86, and Series 7 examinations. Shun is licensed in all 50 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CA
10/02/2015 - Present
Smbc Nikko Securities America, Inc. (SAN FRANCISCO CA)
CA
12/05/2013 - 10/08/2015
TRANSAMERICA FINANCIAL ADVISORS, INC (SAN FRANCISCO CA)
CA
09/25/2007 - 12/21/2011
MIZUHO SECURITIES USA INC. (SAN FRANCISCO CA)
BC
Issued 04/01/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/04/2008
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 09/24/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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