Stacy B. Dang
Professional summary
Stacy Binh Dang is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.
Stacy is registered as a RR (Registered Representative) and started their career in finance in 1998. Stacy has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 14, Series 27, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stacy Binh Dang's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2021 - Present
TJM INVESTMENTS, LLC
Office #1: 318 W. Adams Street Suite 900, Chicago, IL 60606December 12, 2011 - March 16, 2021
PT ASSET MANAGEMENT, LLC
July 5, 2011 - March 16, 2021
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
June 13, 2007 - June 20, 2011
ENVESTNET PMC
June 12, 2007 - June 20, 2011
PORTFOLIO BROKERAGE SERVICES, INC.
May 29, 2003 - June 1, 2007
LITTLE RIVER CAPITAL, LLC
November 5, 1998 - January 15, 2002
PROTRADER SECURITIES L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2021)
(8/19/2021)
(8/19/2021)
(8/19/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/18/1999
Limited Representative-Equity Trader ExamCboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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