Eddie Tam
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.
Eddie Tam, who also goes by Eddie Nmn Tam, Shu Ru Tan, was a registered financial professional .
Eddie is a previously registered financial professional and started their career in finance in 2004. Eddie had worked at 4 firms and has passed the Series 63, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2014 - December 1, 2015
QUASAR TRADING, LLC
January 18, 2013 - August 8, 2014
QUASAR TRADING, LLC
July 31, 2012 - February 1, 2013
LEGEND TRADING, LLC
May 4, 2012 - August 14, 2012
WTS PROPRIETARY TRADING GROUP LLC
June 21, 2004 - July 21, 2004
JOSEPH STEVENS & CO., INC.
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 56
Date: 7/7/2012
Proprietary Trader Qualification ExaminationCurrent Firm
QUASAR TRADING, LLC
CRD#: 151974 / SEC#: , 8-68416
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
