Hin-king Tai
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.
Hin-king Tai, who also goes by Hinking Tai, was a registered financial professional .
Hin-king is a previously registered financial professional and started their career in finance in 1999. Hin-king had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 55 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
December 7, 2010 - January 22, 2015
ALTO SECURITIES, LLC
May 28, 1999 - June 1, 2001
HEARTLAND SECURITIES CORP.
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 55
Date: 3/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
ALTO SECURITIES, LLC
CRD#: 153384 / SEC#: , 8-68530
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINDENKOHL HOLDINGS, LLC | MEMBER | |
| DORFMAN FOSTER, ESTEE | FINOP/CFO | 2696529 |
| MILLER, GORDON IVAN JR | MANAGER/PRINCIPAL | |
| TAI, HINKING | CHIEF COMPLIANCE OFFICER |
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.
