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Florence Y. Tai

SOGOTRADE
Chesterfield, MO 63005
Some features on this profile are disabled
CRD#: 3242954
FT

Professional summary

Florence Yun-hui Tai, who also goes by Florence Yun Hui Tai, is a registered financial professional currently at SOGOTRADE, INC. located in Chesterfield, Missouri.

Florence is registered as a RR (Registered Representative) and started their career in finance in 1999. Florence has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Florence Yun Hui Tai

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Florence Yun-hui Tai's CRS (Customer Relationship Summary).
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 19, 2020 - Present

SOGOTRADE, INC.

Office #1: 1 Mcbride & Sons Center Drive Suite 288, Chesterfield, MO 63005
BD
CRD#: 17912
Chesterfield, MO
Past

May 30, 2018 - June 15, 2020

VELOX CLEARING LLC

BD
CRD#: 290215
Anaheim, CA
Past

February 24, 2017 - July 31, 2017

VELOX SECURITIES, INC.

BD
CRD#: 285402
ANAHEIM, CA
Past

September 3, 2015 - February 2, 2017

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
DALLAS, TX
Past

August 2, 2012 - August 14, 2015

SOGOTRADE, INC.

BD
CRD#: 17912
CITY OF INDUSTRY, CA
Past

February 9, 2006 - December 21, 2011

GENESIS SECURITIES, LLC

BD
CRD#: 46992
NEW YORK, NY
Past

January 9, 2003 - April 4, 2005

GLENDALE SECURITIES, INC.

BD
CRD#: 123649
SHERMAN OAKS, CA
Past

September 14, 2000 - December 31, 2005

COMPUTER CLEARING SERVICES INC

BD
CRD#: 20776
GLENDALE, CA
Past

September 27, 1999 - December 1, 1999

THOMAS GREEN SECURITIES, INC.

BD
CRD#: 571
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/19/2020)
RR
Missouri
(2/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/12/2003
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/2000
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SI
SOGOTRADE, INC.
COASTAL INVESTMENTS ASSOCIATES LTD. | WANG INVESTMENTS | WANG INVESTMENT ASSOCIATES, INC. | SOGOTRADE, INC. | SOGOTRADE | COASTAL INVESTMENTS ASSOCIATES, LTD.

CRD#: 17912 / SEC#: , 8-35930

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1 Mcbride And Son Center Drive Suite 288, Chesterfield, MO 63005
Mailing Address
1 Mcbride And Son Center Drive Suite 288, Chesterfield, MO 63005
Phone number
(646) 885-6486
Established
Delaware since 12/16/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOGO FINANCIAL MANAGEMENT, LLCSHAREHOLDER
CONNOR, RICHARD BRIANCHIEF OPERATIONS OFFICER2364764
FRIEDMAN, TIMOTHY NATHANCHIEF AML OFFICER1967603
MANDERS, PATRICKCHIEF COMPLIANCE OFFICER6658729
SAKOL, DANIEL SCOTTFINOP2813237
WALLACE, KRISTOPHER ALEXANDERCHIEF EXECUTIVE OFFICER2363185

Disclosures

Regulatory Event7
Arbitration1

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.

Company Information

SOGOTRADE, INC.

CRD#: 17912Chesterfield, MO 63005

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