Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tat gary? Claim Your ProfileTat gary Tsui has been an active advisor in the financial industry since August 20, 2010. Tat gary Tsui is registered as a broker in 53 states and an investment advisor in 2 states. Currently, Tat gary Tsui is employed by Merrill Lynch, Pierce, Fenner & Smith Inc. Tat gary Tsui has held previous registrations with SCOTTRADE, INC.. Tat gary Tsui holds licenses for Series 63, 66, 7, 9, 10, and SIE. Tat gary Tsui specializes in working with individuals, businesses, insurance companies, charitable organizations, pension and profit sharing plans, high net worth individuals, and corporations or other businesses.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TEMPLE CITY CA)
CA
08/04/2010 - 10/28/2013
SCOTTRADE, INC. (ARCADIA CA)
BOTH
Issued 12/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/21/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/16/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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