Tsepei Wang
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.
Tsepei Wang, who also goes by Gary Wang, was a registered financial professional .
Tsepei is a previously registered financial professional and started their career in finance in 1996. Tsepei had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 55, Series 7, Series 4 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
March 13, 2015 - September 7, 2020
NI ADVISORS
March 12, 2015 - September 7, 2020
NI ADVISORS
April 22, 2014 - September 12, 2014
GLOBAL-AMERICAN INVESTMENTS, INC.
January 2, 2014 - April 24, 2014
NI ADVISORS
August 21, 2003 - May 31, 2012
GLOBAL-AMERICAN INVESTMENTS, INC.
May 16, 2003 - August 20, 2003
IFMG SECURITIES, INC.
May 16, 2003 - August 20, 2003
IFMG SECURITIES, INC.
August 22, 2001 - April 24, 2003
MORGAN STANLEY DW INC.
April 19, 2001 - April 24, 2003
MORGAN STANLEY DW INC.
May 31, 2000 - February 14, 2001
BROOKFIELD SECURITIES, INC.
October 16, 1998 - May 2, 2000
THOMAS GREEN SECURITIES, INC.
January 9, 1998 - October 27, 1998
ACUMENT SECURITIES, INC.
January 20, 1997 - January 1, 1998
CAPITAL WORLD SECURITIES CORP
November 26, 1996 - February 19, 1997
U. S. PACIFIC FINANCIAL SERVICES, 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: 11/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory 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.
