Katie S Tai
Professional Summary
Katie S Tai, who also goes by Shao-an Katie Jung, is a registered financial advisor currently at GRIFFINEST ASIA SECURITIES, LLC located in Pasadena, California. Katie is registered as a RR (Registered Representative) and started their career in finance in 2001. Katie has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Shao-An Katie Jung
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
FUBON SECURITIES USA, LLC | GRIFFINEST ASIA SECURITIES, LLC
Contact Information
Main Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101Mailing Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101Phone Number
(626) 792-1388Established
California since 03/23/2004Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/16/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Katie S Tai's CRS (Customer Relationship Summary).
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