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PT

Preston K. Tsao

Some features on this profile are disabled
CRD#: 1892935
PT

Professional summary

Preston Kaishen Tsao was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Preston is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Preston had worked at 6 firms, which includes INTE SECURITIES LLC, PARAMOUNT BIOCAPITAL INC., METCIRCLE SECURITIES LLC, SSC NY CORP., SCO SECURITIES LLC, GUINAN & COMPANY INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 25, 2013 - May 10, 2019

INTE SECURITIES LLC

BD
CRD#: 47107
NEW YORK, NY
Past

June 17, 2005 - April 30, 2007

PARAMOUNT BIOCAPITAL, INC.

BD
CRD#: 29795
NEW YORK, NY
Past

February 3, 2005 - March 25, 2013

METCIRCLE SECURITIES LLC

BD
CRD#: 132690
NEW YORK, NY
Past

October 19, 2001 - February 7, 2002

SSC NY CORP.

BD
CRD#: 29804
NEW YORK, NY
Past

September 5, 2001 - June 9, 2005

SCO SECURITIES LLC

BD
CRD#: 47748
NEW YORK, NY
Past

December 12, 1994 - October 19, 2001

SSC NY CORP.

BD
CRD#: 29804
NEW YORK, NY
Past

December 21, 1988 - February 28, 1990

GUINAN & COMPANY, INC.

BD
CRD#: 15435

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/27/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/14/2004
General Securities Principal Examination

Current Firm

IS
INTE SECURITIES LLC
EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Phone number
(212) 897-1694
Established
Florida since 08/14/2018
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPINDEL, ALANMEMBER6141844
SPINDEL, HOWARDMEMBER708042
SPINDEL, JAYMEMBER1839344
STUPAY, MICHAEL ELLIOTMEMBER2287906
STUPAY, SHELLEYMEMBER5570644
OBSBAUM, FREDRIC MICHAELCCO1160811

Disclosures

Regulatory Event1

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.

Company Information

INTE SECURITIES LLC

CRD#: 47107

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