Tony C. Tai
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.
Tony Chuansen Tai, who also goes by Chuansen C Tai, Chuansen Tai, Tony C Tai, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1994. Tony had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 27 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2019 - July 2, 2020
ZINVEST FINANCIAL SERVICE, LLC
December 6, 2010 - May 21, 2013
KEY WEST INVESTMENTS, LLC
December 6, 2010 - May 21, 2013
KEY WEST INVESTMENTS, LLC
January 27, 2010 - December 13, 2010
NYLIFE SECURITIES LLC
January 10, 2008 - April 30, 2009
UCB ASSET MANAGEMENT, INC.
January 12, 2005 - April 29, 2009
UCB INVESTMENT SERVICES, INC.
January 11, 2005 - August 6, 2009
UCB INVESTMENT SERVICES, INC.
December 10, 2002 - January 3, 2005
SINOPAC FINANCIAL SERVICES (USA) LTD.
May 4, 1999 - January 6, 2003
NEW YORK GLOBAL SECURITIES, INC.
October 6, 1998 - December 17, 1999
U. S. PACIFIC FINANCIAL SERVICES, INC.
September 3, 1996 - November 5, 1998
CAPITAL WORLD SECURITIES CORP
August 24, 1995 - February 6, 1996
PRIME PACIFIC FINANCIAL CORPORATION
October 7, 1994 - August 8, 1995
U. S. PACIFIC FINANCIAL SERVICES, INC.
August 25, 1994 - November 1, 1994
FASCO INTERNATIONAL, 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
ZINVEST FINANCIAL SERVICE, LLC
CRD#: 297563 / SEC#: 801-117145, 8-70951
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 23,543,616 |
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.
