Dan T. Hua
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.
Dan Tan Hua was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 1996. Dan had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2017 - December 21, 2017
SCOTTRADE INVESTMENT MANAGEMENT
December 2, 2003 - December 21, 2017
SCOTTRADE, INC.
November 7, 1997 - July 30, 2003
TD AMERITRADE, INC.
March 10, 1997 - November 7, 1997
KENNEDY, CABOT & CO.
December 19, 1996 - January 22, 1997
JOSEPH CHARLES & ASSOC., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 3/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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