Konnin Tam
Professional summary
Konnin Tam is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
Konnin is registered as a RR (Registered Representative) and started their career in finance in 1999. Konnin has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Konnin Tam's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2022 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701August 16, 2018 - April 14, 2022
BLACKROCK INVESTMENTS, LLC
August 30, 1999 - August 15, 2018
GOLDMAN SACHS & CO. 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
(9/20/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 8/28/1999
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
Red Flags
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