Chung W. Tai
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.
Chung Wing Tai, who also goes by Warren Tai, was a registered financial professional .
Chung is a previously registered financial professional and started their career in finance in 1990. Chung had worked at 3 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 1999 - March 1, 2002
STOCKWALK.COM, INC.
August 15, 1997 - January 3, 2005
MPAC CAPITAL PARTNERS, L.P.
October 1, 1990 - December 21, 1999
M.ONE INVESTMENT 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
STOCKWALK.COM, INC.
CRD#: 40692 / SEC#: , 8-49149
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STOCKWALK GROUP, INC. | PARENT COMPANY | |
| HOUDEK, JEFFREY LONN | FINOP | 2664944 |
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.
