Connie Tseng
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.
Connie Tseng, who also goes by Yuchen Tseng, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1998. Connie had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2011 - November 1, 2018
QUEST CAPITAL STRATEGIES, INC.
December 14, 2009 - January 31, 2011
B.B. GRAHAM & COMPANY, INC.
June 11, 2008 - December 2, 2009
DOLPHIN SECURITIES, INC.
November 2, 1999 - June 13, 2008
QUEST CAPITAL STRATEGIES, INC.
April 22, 1998 - September 17, 1999
PRUCO SECURITIES, 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
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
