Yi Ching Tsai

SHALOM GLOBAL CAPITAL GROUP LLC

San Jose, CA 95110

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CRD#: 3130054

Professional summary

Yi Ching Tsai, who also goes by Isabella Yi Ching Tsai, Isabella Tsai, Yi Ching Tsai, is a registered financial advisor currently at SHALOM GLOBAL CAPITAL GROUP LLC located in San Jose, California.

Yi Ching is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Yi Ching has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Isabella Yi Ching Tsai | Isabella Tsai | Yi Ching Tsai

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Owns investment properties. No formal business name. the business is not investment related. Business address is 537 Folsom Circle, Milpitas, CA 95035. No formal title. Business began around 05/2012. Approximately 3 hours per month are devoted to this business, 1 hour per month during trading hours. Duties include managing the property managers and tenants. There are 4 properties are located in the state of Texas, and 2 in California.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yi Ching Tsai's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 15, 2020 - Present

SHALOM GLOBAL CAPITAL GROUP LLC

Office #1: 2033 Gateway Place Suite 500, San Jose, CA 95110

RIA

CRD#: 309315

San Jose, CA

Past

April 17, 2018 - March 26, 2020

POLARIS WEALTH ADVISORY GROUP

RIA

CRD#: 158718

San Rafael, CA

Past

April 25, 2006 - March 13, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Cupertino, CA

Past

April 14, 2004 - March 13, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

CUPERTINO, CA

Past

November 10, 2003 - March 13, 2018

TD AMERITRADE, INC.

CRD#: 7870

CUPERTINO, CA

Past

July 3, 2002 - May 12, 2003

NATIONAL CLEARING CORP.

CRD#: 14343

SHERMAN OAKS, CA

Past

July 26, 2000 - December 19, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 26, 2000 - October 19, 2000

FORTUNE SECURITIES, INC.

CRD#: 40821

ALHAMBRA, CA

Past

March 31, 2000 - May 11, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 23, 1999 - June 16, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/15/2020)

IAR

Texas
(7/11/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/5/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/11/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHALOM GLOBAL CAPITAL GROUP LLC

SHALOM GLOBAL CAPITAL GROUP | SHALOM GLOBAL CAPITAL GROUP LLC

CRD#: 309315 / SEC#: 801-118929

RIA

Registered Investment Advisory firm - (10/20/2020 Terminated)

California

Registered Investment Advisory firm - (10/19/2020 Approved)

Texas

Registered Investment Advisory firm - (7/11/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2033 Gateway Place Suite 500, San Jose, CA 95110

Mailing Address

Phone number

(408) 342-1680

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 32,618,270

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.

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Advisor Monitoring

Firm Stability Insights

Yi Ching Tsai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yi Ching Tsai's CRS (Customer Relationship Summary).

Certified licenses

Experience

POLARIS WEALTH ADVISORY GROUP

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

NATIONAL CLEARING CORP.

MORGAN STANLEY DW INC.

FORTUNE SECURITIES, INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2004

Series 63

Date: 12/21/1998

SIE

Date: 3/13/2018

Series 31

Date: 8/11/2000

Series 7

Date: 6/21/2000

Series 6

Date: 2/22/1999

Current Firm

SHALOM GLOBAL CAPITAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHALOM GLOBAL CAPITAL GROUP LLC

TRUST BUT VERIFY

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