Thomas Tsang
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.
Thomas Tsang was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2011 - December 21, 2012
LOUIS CAPITAL MARKETS, LLC
June 21, 2010 - December 23, 2010
TAFFERER TRADING, LLC
March 26, 2008 - December 26, 2008
UBS FINANCIAL SERVICES INC.
January 2, 2007 - November 30, 2007
RBC CAPITAL MARKETS CORPORATION
May 4, 2006 - November 21, 2006
G-2 TRADING,LLC
June 7, 2005 - December 31, 2006
US TRADING LLC
April 4, 2005 - January 2, 2007
CARLIN EQUITIES, LLC
June 1, 1999 - March 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 7, 1995 - May 24, 1999
M.S. FARRELL & COMPANY, 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
Series 55
Date: 3/7/2002
Limited Representative-Equity Trader ExamCurrent Firm
LOUIS CAPITAL MARKETS, LLC
CRD#: 48013 / SEC#: , 8-52013
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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