Barry Tse
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.
Barry Tse was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1997. Barry had worked at 3 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2011 - January 17, 2012
CCM SECURITIES, LLC
January 13, 2000 - November 26, 2008
J.P. MORGAN SECURITIES LLC
December 8, 1997 - January 3, 2000
SMBC NIKKO SECURITIES AMERICA, 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
Series 55
Date: 12/22/2004
Limited Representative-Equity Trader ExamCurrent Firm
CCM SECURITIES, LLC
CRD#: 104457 / SEC#: , 8-52911
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
