Kia Tahai
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.
Kia Tahai was a registered financial professional .
Kia is a previously registered financial professional and started their career in finance in 1997. Kia had worked at 4 firms and has passed the Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2021 - October 6, 2021
FRANKLIN DISTRIBUTORS, LLC
April 16, 2009 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 26, 2007 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
December 6, 2006 - March 26, 2007
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
April 8, 2003 - December 8, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 22, 1997 - November 2, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, 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 6TO
Date: 10/5/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
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