Douglas D. Tsao
Professional summary
Douglas Dylan Tsao, who also goes by Doug Tsao, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1999. Douglas has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Dylan Tsao's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2018 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022September 22, 2008 - November 13, 2018
BARCLAYS CAPITAL INC.
March 15, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
June 2, 2004 - August 27, 2004
MERRIMAN CAPITAL, INC.
September 11, 2001 - December 5, 2001
SCO SECURITIES LLC
June 18, 1999 - October 17, 2001
SSC NY 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
(11/6/2018)
Exams
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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