Tsz Yeung 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.
Tsz Yeung Tam, who also goes by Ron Tam, Ron Tsz Yeung Tam, was a registered financial professional .
Tsz Yeung is a previously registered financial professional and started their career in finance in 2002. Tsz Yeung had worked at 7 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2013 - May 23, 2014
SPOT TRADING L.L.C.
June 5, 2012 - August 14, 2012
ELADIAN PARTNERS BROKERAGE LLC
July 26, 2005 - February 16, 2011
HRT EXECUTION SERVICES LLC
December 2, 2003 - March 7, 2005
GREAT POINT CAPITAL LLC
July 18, 2003 - December 4, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 2003 - December 4, 2003
IDS LIFE INSURANCE COMPANY
May 15, 2003 - December 4, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 2002 - February 4, 2003
FORESTERS FINANCIAL SERVICES, 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 55
Date: 12/12/2003
Limited Representative-Equity Trader ExamCurrent Firm
SPOT TRADING L.L.C.
CRD#: 47666 / SEC#: , 8-51855
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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