Tsewang T. Pemba
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.
Tsewang Tenzing Pemba, who also goes by T T Pemba, Tsewang Tensing Pemba, was a registered financial professional .
Tsewang is a previously registered financial professional and started their career in finance in 1989. Tsewang had worked at 8 firms and has passed the Series 63, 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
June 18, 1999 - October 24, 2006
ADVANCED PLANNING SECURITIES, INC.
January 4, 1999 - June 16, 1999
BISHOP, ROSEN & CO., INC.
May 18, 1998 - December 31, 1998
ALEXANDER, WESCOTT, & CO., INC.
April 28, 1993 - June 3, 1998
JOSEPHTHAL & CO., INC.
November 27, 1992 - May 3, 1993
BERKELEY SECURITIES CORPORATION
January 27, 1992 - November 3, 1992
PIPER SANDLER & CO.
March 30, 1989 - September 20, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 30, 1989 - September 20, 1991
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ADVANCED PLANNING SECURITIES, INC.
CRD#: 14382 / SEC#: , 8-17981
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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