Sothara Chin
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.
Sothara Chin, who also goes by Soth Chin, was a registered financial professional .
Sothara is a previously registered financial professional and started their career in finance in 1990. Sothara had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2020 - October 30, 2023
MVISION PRIVATE EQUITY ADVISERS USA LLC
February 3, 2020 - April 27, 2020
RUNTITLE PROPERTIES LLC
February 8, 2019 - June 1, 2021
PROSPERITY ECONOMICS PARTNERS, LLC
July 20, 2017 - April 23, 2020
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
June 20, 2016 - April 28, 2017
IMPACTUS MARKETPLACE LLC
October 12, 2012 - June 15, 2015
ARROW INVESTMENT ADVISORS, LLC
June 18, 2012 - June 15, 2015
ARCHER DISTRIBUTORS, LLC
September 9, 2010 - April 2, 2012
CAPITAL FIDUCIARY ADVISORS, LLC
October 26, 2009 - August 26, 2010
INVESTMENT PROFESSIONALS, INC.
June 24, 2009 - August 16, 2011
INVESTMENT PROFESSIONALS, INC.
June 16, 1998 - January 27, 2009
FBR INVESTMENT SERVICES, INC.
June 4, 1996 - June 5, 1998
GUGGENHEIM DISTRIBUTORS, LLC
October 23, 1990 - March 12, 1996
RELIASTAR FINANCIAL MARKETING CORP.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MVISION PRIVATE EQUITY ADVISERS USA LLC
CRD#: 122242 / SEC#: , 8-65479
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MVISION PRIVATE EQUITY ADVISERS LIMITED | MEMBER | |
| GUEN, MOUNIR | CHIEF EXECUTIVE OFFICER, MANAGER, CCO | 4576504 |
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.
