Dah-chin Chi

TNT ASSET MANAGEMENT

ROUND ROCK, TX 78664

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CRD#: 4242451

Professional summary

Dah-chin Chi, who also goes by Daniel Chi, is a registered financial advisor currently at TNT ASSET MANAGEMENT, LLC located in Round Rock, Texas.

Dah-chin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Dah-chin has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Chi

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.

1)INDEPENDENT INSURANCE AGENT,YES,7908 CAMERON ROAD SUITE 115, AUSTIN, TX 78754, FIXED INSURANCE SALES,INDEPENDENT INSURANCE AGENT,06/05/2006,160,160,SALES OF FIXED INSURANCE PRODUCTS. 2) CELERITY ADVISORS, LLC, Investment Related; 7908 Cameron Road Suite 115, Austin, TX 78754, President/Owner, 08/01/2017, For Sale of Insurance Products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dah-chin Chi'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

August 25, 2017 - Present

TNT ASSET MANAGEMENT, LLC

Office #1: 105 E. Main Street, Round Rock, TX 78664

RIA

CRD#: 153309

ROUND ROCK, TX

Past

October 4, 2007 - September 6, 2017

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

AUSTIN, TX

Past

April 6, 2004 - September 6, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

AUSTIN, TX

Past

October 14, 2003 - February 14, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 5, 2001 - October 10, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TNT ASSET MANAGEMENT, LLC

TNT ASSET MANAGEMENT, LLC | TNT FINANCIAL SERVICES

CRD#: 153309 / SEC#: 801-130194

RIA

Registered Investment Advisory firm - (6/3/2024 Approved)

Texas

Registered Investment Advisory firm - (7/9/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(8/25/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/13/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/3/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TNT ASSET MANAGEMENT, LLC

TNT ASSET MANAGEMENT, LLC | TNT FINANCIAL SERVICES

CRD#: 153309 / SEC#: 801-130194

RIA

Registered Investment Advisory firm - (6/3/2024 Approved)

Texas

Registered Investment Advisory firm - (7/9/2024 Terminated)

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Contact information

Main Address

105 E. Main Street, Round Rock, TX 78664

Mailing Address

P.o. Box 882, Round Rock, TX 78680

Phone number

(512) 255-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TNT ASSET MANAGEMENT DISCLOSURE 2A BROCHURE (2/21/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 145,267,497

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.

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Firm Stability Insights

Dah-chin Chi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dah-chin Chi's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MML INVESTORS SERVICES, LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

TNT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2007

Series 63

Date: 7/16/2001

SIE

Date: 9/6/2017

Series 6

Date: 7/3/2001

Current Firm

TNT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TNT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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