Talal Tay
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.
Talal Tay, who also goes by Talal Taynaime, was a registered financial professional .
Talal is a previously registered financial professional and started their career in finance in 2000. Talal had worked at 3 firms and has passed the Series 63, SIE 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
June 7, 2010 - February 16, 2017
FROST BROKERAGE SERVICES, INC.
June 2, 2004 - November 23, 2004
FROST BROKERAGE SERVICES, INC.
September 27, 2001 - July 12, 2002
AMERIPRISE ADVISOR SERVICES, INC.
November 21, 2000 - May 18, 2001
EDWARD JONES
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
Current Firm
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
