Kengming Tien
Professional summary
Kengming Tien, who also goes by James Kengming Tien, James Tien, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kengming Tien's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2022 - Present
INTEGRAL FINANCIAL LLC
Office #1: 10054 Pasadena Ave., Cupertino, CA 95014August 21, 2001 - September 13, 2022
MAIA SECURITIES, INC.
December 23, 2000 - October 29, 2001
FORTUNE SECURITIES, INC.
July 12, 2000 - October 23, 2000
WHITE PACIFIC SECURITIES, INC.
April 1, 1999 - July 12, 2000
ACUMENT SECURITIES, INC.
July 22, 1996 - February 1, 1999
CAPITAL INVESTMENT EXCHANGE, INC.
April 23, 1996 - September 27, 1996
AGS FINANCIAL SERVICES, INC.
January 26, 1994 - November 10, 1995
CAPITAL WORLD SECURITIES CORP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INTEGRAL FINANCIAL LLC
CRD#: 120343 / SEC#: , 8-65284
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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