Charmaine A. Tang
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.
Charmaine Anne Tang, who also goes by Charmaine Anne Abad, Charmaine Abad Tang, Charmaine Anne Tang, was a registered financial professional .
Charmaine is a previously registered financial professional and started their career in finance in 1998. Charmaine had worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 87 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2025 - January 26, 2026
FINALIS SECURITIES LLC
August 28, 2022 - January 17, 2023
ZERMATT SECURITIES LLC
March 26, 2018 - December 11, 2020
J.P. MORGAN SECURITIES LLC
April 2, 2002 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
May 25, 2001 - April 4, 2002
J.P. MORGAN SECURITIES LLC
March 4, 1998 - July 13, 1999
MORGAN STANLEY & CO. LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 3/13/2022
General Securities Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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.
