Sarah S. Moy
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.
Sarah Sou Moy, who also goes by Phuong T Sou, Sarah Sou, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1999. Sarah had worked at 4 firms and has passed the Series 63, Series 7, Series 11, Series 53 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
October 17, 2011 - June 25, 2012
QUEST CAPITAL STRATEGIES, INC.
January 1, 2005 - October 23, 2009
HSBC SECURITIES (USA) INC.
October 5, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 19, 1999 - September 5, 2000
FIRSTRADE SECURITIES 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 11
Date: 2/4/1998
Assistant Representative-Order Processing Qualification ExamCurrent 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.
