Joku Tang
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.
Joku Tang was a registered financial professional .
Joku is a previously registered financial professional and started their career in finance in 1995. Joku had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
April 6, 2011 - January 28, 2013
MORGAN JOSEPH TRIARTISAN CAPITAL LLC
June 16, 2004 - February 8, 2006
MORGAN JOSEPH HIGH YIELD TRADING LLC
December 14, 2001 - October 2, 2014
MORGAN JOSEPH TRIARTISAN LLC
February 5, 1999 - September 17, 2001
HCFP BRENNER SECURITIES, LLC
July 11, 1996 - February 5, 1999
LOEWENBAUM & COMPANY INCORPORATED
July 28, 1995 - July 11, 1996
BRENNER SECURITIES CORPORATION
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
MORGAN JOSEPH TRIARTISAN CAPITAL LLC
CRD#: 122351 / SEC#: , 8-65485
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRI-ARTISAN CAPITAL PARTNERS, LLC | MEMBER | |
| BLECHER, STEVEN DONALD | CHIEF COMPLIANCE OFFICER | 1230668 |
| CROMACK, GERALD HENRY II | MANAGING DIRECTOR AND GENERAL SECURITIES PRINCIPAL | 2427149 |
| MANOCHA, ROHIT | MANAGING DIRECTOR AND GENERAL SECURITIES PRINCIPAL | 1583152 |
| TANG, JOKU | CHIEF FINANCIAL OFFICER; FINOP | 2199818 |
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.
