Kengming Tien
Professional Summary
Kengming Tien, who also goes by James Kengming Tien, James Tien, is a registered financial advisor currently at INTEGRAL FINANCIAL LLC located in Cupertino, California. Kengming is registered as a RR (Registered Representative) and started their career in finance in 1994. Kengming has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 14, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Kengming Tien, James Tien
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
INTEGRAL FINANCIAL LLC
Contact Information
Main Address
10054 Pasadena Ave., Cupertino, CA 95014Mailing Address
10054 Pasadena Ave., Cupertino, CA 95014Phone Number
(408) 996-1118Established
California since 02/08/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
1FINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
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FALCON WEALTH PLANNING, LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/20/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kengming Tien's CRS (Customer Relationship Summary).
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