Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vivian? Claim Your ProfileVivian Tsai is a Registered Representative associated with Tiaa-Cref Individual & Institutional Services, LLC. Vivian has been in the financial industry since 2002 and has been registered with the state of California since 2014. Vivian holds the Series 7, Series 24, Series 31, Series 51 and Series 66 licenses, and is also licensed as an Investment Advisor Representative. Vivian has experience working with individuals, high-net-worth individuals, charitable organizations, and corporations.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
CA
05/20/2014 - Present
Tiaa-Cref Individual & Institutional Services, LLC (El Cerrito CA)
NY
01/03/2012 - 02/24/2014
BLACKROCK INVESTMENTS, LLC (NEW YORK NY)
CA
07/29/2008 - 12/31/2011
BLACKROCK FUND DISTRIBUTION COMPANY (SAN FRANCISCO CA)
CA
11/23/2005 - 12/31/2008
BARCLAYS GLOBAL INVESTORS SERVICES (SAN FRANCISCO CA)
NY
09/29/2003 - 10/07/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/17/2001 - 08/26/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 10/04/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/04/2014
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 01/07/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 08/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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