Peigen Tao
Professional summary
Peigen Tao is a registered financial advisor currently at TAOS INVESTMENT ADVISORS, LLC located in Chicago, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Chicago, Illinois.
Peigen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Peigen has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peigen Tao's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2011 - Present
TAOS INVESTMENT ADVISORS, LLC
Office #1: 2167 B South China Place, Chicago, IL 60616January 3, 2012 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 2167b. South China Place, Chicago, IL 60616July 15, 2011 - July 26, 2011
BROKERSXPRESS LLC
July 15, 2011 - December 31, 2011
BROKERSXPRESS LLC
June 22, 1999 - July 18, 2011
MML INVESTORS SERVICES, LLC
September 3, 1998 - July 18, 2011
MML INVESTORS SERVICES, 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
(6/15/2023)
(1/3/2012)
(2/21/2019)
(1/3/2012)
(1/3/2012)
(6/15/2023)
(6/15/2023)
(8/22/2011)
(1/3/2012)
(1/3/2012)
(1/3/2012)
(9/22/2017)
(6/15/2023)
(6/15/2023)
(1/3/2012)
(10/2/2013)
(1/3/2012)
(10/5/2021)
(6/15/2023)
(1/3/2012)
(1/3/2012)
(6/15/2023)
(6/15/2023)
(6/15/2023)
(8/18/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TAOS INVESTMENT ADVISORS, LLC
CRD#: 158056 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 78,935,254 |
Red Flags
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