Daphne M. Tan
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.
Daphne Mi Tan, who also goes by Mi Tan, was a registered financial professional .
Daphne is a previously registered financial professional and started their career in finance in 1992. Daphne had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
August 27, 2012 - October 1, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
August 24, 2012 - October 1, 2015
J.P. TURNER & COMPANY, L.L.C.
May 28, 2010 - July 9, 2012
LPL FINANCIAL LLC
May 21, 2010 - July 9, 2012
LPL FINANCIAL LLC
May 29, 2007 - June 17, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 17, 2010
CITIGROUP GLOBAL MARKETS INC.
December 6, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 31, 1994 - July 18, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
April 29, 1994 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 13, 1992 - July 21, 1994
METROPOLITAN LIFE INSURANCE COMPANY
July 13, 1992 - July 21, 1994
MSI FINANCIAL SERVICES, 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
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
CRD#: 124446 / SEC#: 801-67970
Contact information
Red Flags
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