Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tai? Claim Your ProfileTai Vu is a financial professional with over 13 years of experience in the securities industry. Tai is currently registered with Marex Capital Markets Inc. as a Registered Representative. Previously, Tai was registered with Piper Jaffray & Co., Gleacher & Company Securities, Inc., and UBS Securities LLC. Tai holds the Series 63, Series 7 and SIE licenses and is currently registered in Illinois and New York.
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.
1
2
NY
10/13/2015 - Present
Marex Capital Markets Inc. (NEW YORK NY)
NY
04/01/2013 - 10/28/2015
PIPER JAFFRAY & CO. (NEW YORK NY)
NY
05/17/2012 - 03/28/2013
GLEACHER & COMPANY SECURITIES, INC. (NEW YORK NY)
NY
07/27/2009 - 02/09/2012
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 08/13/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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