Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tara? Claim Your ProfileTara Hung Peng is a registered representative with Citigroup Global Markets Inc. Tara has been in the industry since December 16, 2004. Tara has worked at several firms prior to joining Citigroup Global Markets Inc. including HSBC SECURITIES (USA) INC., WELLS FARGO ADVISORS, LLC, CHASE INVESTMENT SERVICES CORP., and M&T SECURITIES, INC. Tara holds licenses for Series 6, 7, 63, 66, and SIE. Tara also holds licenses for the state of California. Tara is also a registered Investment Advisor representative. Tara is located in Rancho Cucamonga, California, where Tara works with clients on investment strategies and portfolio management. Tara provides investment advice to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Tara has a strong track record of success in helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
12/13/2021 - Present
Citigroup Global Markets Inc. (Rancho Cucamonga CA)
CA
06/29/2012 - 12/03/2021
HSBC SECURITIES (USA) INC. (ROWLAND HEIGHTS CA)
CA
04/19/2007 - 06/18/2012
WELLS FARGO ADVISORS, LLC (YORBA LINDA CA)
NY
05/08/2006 - 09/28/2006
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
MD
08/31/2001 - 08/28/2003
M&T SECURITIES, INC. (BALTIMORE MD)
BOTH
Issued 04/25/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/16/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2011
Series 7 - General Securities Representative Examination
BC
Issued 05/05/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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