Stacey Tsai
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.
Stacey Tsai, who also goes by Stacey H Tsai, Stacey Hsin-yun Tsai, was a registered financial professional .
Stacey is a previously registered financial professional and started their career in finance in 2005. Stacey had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2021 - October 23, 2024
INDEPENDENT BROKERAGE SOLUTIONS LLC
November 25, 2019 - December 21, 2020
MORGAN STANLEY
July 16, 2019 - December 21, 2020
MORGAN STANLEY
October 3, 2013 - June 25, 2019
J.P. MORGAN SECURITIES LLC
August 14, 2012 - August 12, 2013
CREDIT SUISSE SECURITIES (USA) LLC
February 8, 2005 - August 29, 2007
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
