Cung Q. Thai
Professional summary
Cung Quoc Thai, who also goes by Clayton Choy, Cung Thai, is a registered financial professional currently at NI ADVISORS located in Milpitas, California.
Cung is registered as a RR (Registered Representative) and started their career in finance in 1996. Cung has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cung Quoc Thai's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2009 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035February 2, 2000 - November 4, 2008
VOYA FINANCIAL ADVISORS, INC.
June 10, 1998 - January 9, 2000
ALLSTATE FINANCIAL SERVICES, LLC
April 9, 1997 - October 29, 1998
AFD, INC.
October 29, 1996 - March 18, 1997
WHITEHALL-PARKER SECURITIES, 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
(3/3/2009)
Exams
FINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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