Kawai Tang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kawai Tang, who also goes by Ka Wai Tang, was a registered financial professional .
Kawai is a previously registered financial professional and started their career in finance in 1983. Kawai had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2000 - January 3, 2017
E-W INVESTMENTS, INC.
April 13, 1999 - May 30, 2000
PRUCO SECURITIES, LLC.
April 25, 1990 - October 16, 1991
E-W INVESTMENTS, INC.
November 9, 1987 - April 22, 1988
SECURITIES WEST, INC.
September 21, 1984 - December 10, 1987
ALLIED WAI FENG SECURITIES, INC.
January 19, 1983 - August 29, 1984
ASIA INTERNATIONAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
