Wenkai Tsai
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.
Wenkai Tsai, who also goes by Tony Tsai, was a registered financial professional .
Wenkai is a previously registered financial professional and started their career in finance in 1996. Wenkai had worked at 4 firms and has passed the Series 63, Series 65, Series 7, Series 31 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
September 14, 2010 - April 3, 2012
BRIDGE CAPITAL ASSOCIATES, INC.
November 2, 2007 - January 30, 2009
BRIDGE CAPITAL ASSOCIATES, INC.
February 7, 2007 - September 10, 2007
KUHNS BROTHERS SECURITIES CORPORATION
March 2, 1998 - July 10, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1996 - April 6, 1998
SOGOTRADE, 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
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
