Nigel Tse
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.
Nigel Tse, who also goes by Nigel Brian Tse, was a registered financial professional .
Nigel is a previously registered financial professional and started their career in finance in 2005. Nigel had worked at 4 firms and has passed the Series 63, Series 79TO, 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
January 13, 2022 - July 12, 2023
CASCADIA CAPITAL, LLC
March 1, 2018 - May 3, 2021
DC ADVISORY
June 9, 2014 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
January 7, 2005 - December 16, 2014
SEVEN HILLS PARTNERS LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CASCADIA CAPITAL, LLC
CRD#: 101020 / SEC#: , 8-52064
Contact information
FINRA licenses (14 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
