Tsz T. Shing
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 T Shing, who also goes by Philip Shing, Tsz Tsang Shing, Tsz Tsung Shing, was a registered financial professional .
Tsz is a previously registered financial professional and started their career in finance in 2006. Tsz had worked at 6 firms and has passed the Series 66, Series 99TO, SIE, 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
February 1, 2016 - February 23, 2021
GUGGENHEIM SECURITIES, LLC
August 17, 2011 - February 6, 2014
CITIGROUP GLOBAL MARKETS INC.
August 10, 2011 - February 6, 2014
CITIGROUP GLOBAL MARKETS INC.
October 2, 2008 - August 4, 2010
JACKSON WEALTH MANAGEMENT, LLC
October 2, 2008 - August 4, 2010
TRIAD ADVISORS LLC
February 12, 2007 - October 2, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 12, 2006 - October 2, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 2006 - June 16, 2006
TRANSAMERICA FINANCIAL ADVISORS, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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