Albert S. An
Professional summary
Albert Seang An is a registered financial professional currently at TRC MARKETS LLC located in New York, New York.
Albert is registered as a RR (Registered Representative) and started their career in finance in 2007. Albert has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 3, SIE, Series 44, Series 55, Series 7, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Albert Seang An's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2019 - Present
TRC MARKETS LLC
Office #1: 120 Broadway 38th Floor, New York, NY 10271April 6, 2017 - November 9, 2021
LATOUR TRADING LLC
April 30, 2014 - June 3, 2015
UBS SECURITIES LLC
June 2, 2009 - March 20, 2013
CREDIT SUISSE SECURITIES (USA) LLC
February 8, 2008 - June 1, 2009
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
May 18, 2007 - June 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 44
Date: 8/11/2009
PCX Market Maker ExamSeries 55
Date: 7/19/2007
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRC MARKETS LLC
CRD#: 171272 / SEC#: , 8-69454
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
Red Flags
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