Siu Taur Pang
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.
Siu Taur Pang was a registered financial professional .
Siu Taur is a previously registered financial professional and started their career in finance in 2005. Siu Taur had worked at 3 firms and has passed the Series 63 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
August 12, 2005 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
August 12, 2005 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
August 12, 2005 - August 18, 2014
D.E. SHAW SECURITIES, L.L.C.
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
D. E. SHAW INVESTMENTS, L.P.
CRD#: 22786 / SEC#: , 8-40511
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW INVESTMENT GROUP, L.L.C. | LIMITED PARTNER | |
| D. E. SHAW & CO., L.P. | GENERAL PARTNER | |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2078654 |
| ELIAS, ROCHELLE ASSAEL | CHIEF COMPLIANCE OFFICER | 724288 |
| GAUDIO, JULIUS RALPH | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2406744 |
| SALKIND, LOUIS KEN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 1926517 |
| SEIDEMANN, STEVEN JAY | GENERAL COUNSEL OF D. E. SHAW & CO., L.P. | |
| SHAW, DAVID ELLIOT | CHAIRMAN, PRESIDENT & SOLE SHAREHOLDER OF D. E. SHAW & CO., INC. | 1557735 |
| STECKLER, STUART | CFO; MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2022720 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR OF D. E. SHAW & CO., INC. | 2246217 |
| WEPSIC, ERIC KARL | MANAGING DIRECTOR OF D. E. SHAW & CO. L.P. | 2489161 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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