Franklin L. Tsung
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.
Franklin Liu Tsung, who also goes by Franklin Liu Min, Anthon K Tsung, Anthony M Tsung, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 2016. Franklin had worked at 2 firms and has passed the Series 65, 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
October 21, 2016 - October 5, 2017
GARY GOLDBERG & CO., LLC
March 25, 2016 - October 24, 2016
TIGRESS FINANCIAL 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
Current Firm
GARY GOLDBERG & CO., LLC
CRD#: 47957 / SEC#: , 8-51974
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
