Miko Y. Tam
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.
Miko Yat Sun Tam, who also goes by Miko Yatsun Tam, was a registered financial professional .
Miko is a previously registered financial professional and started their career in finance in 1996. Miko had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - July 5, 2016
CRT CAPITAL GROUP LLC
May 18, 2007 - April 20, 2015
STERNE, AGEE & LEACH, INC.
January 3, 2003 - May 18, 2007
OPPENHEIMER & CO. INC.
September 13, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
May 11, 1999 - October 6, 2000
COWEN AND COMPANY
September 27, 1996 - May 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
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.
