Hantao Mai
Professional summary
Hantao Mai was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hantao is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Hantao had worked at 1 firm, which includes TAFFERER TRADING LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2006 - May 22, 2007
TAFFERER TRADING, 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 55
Date: 1/24/2007
Limited Representative-Equity Trader ExamCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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