Tao Kong
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.
Tao Kong was a registered financial professional .
Tao is a previously registered financial professional and started their career in finance in 1995. Tao had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2015 - February 1, 2017
NSX SECURITIES LLC
March 13, 2007 - January 30, 2015
DE ROUTE
November 10, 1999 - July 25, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 28, 1998 - November 10, 1999
NASDAQ EXECUTION SERVICES, LLC
November 13, 1996 - September 15, 1998
MURIEL SIEBERT & CO., LLC
July 17, 1995 - July 1, 1996
A. G. EDWARDS & SONS, INC.
May 22, 1995 - July 7, 1995
FSC SECURITIES CORPORATION
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
Series 55
Date: 2/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
NSX SECURITIES LLC
CRD#: 141378 / SEC#: , 8-67385
Contact information
Documents
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.
