Susanna Tang
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.
Susanna Tang, CFP®, who also goes by Susanna Chen, Susanna Scherm, Susanna Wai Ya Tang, was a registered financial professional .
Susanna is a previously registered financial professional and started their career in finance in 2007. Susanna had worked at 4 firms and has passed the Series 66, Series 31 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
April 21, 2016 - March 30, 2017
CHEN FINANCIAL GROUP, LLC
May 4, 2012 - March 30, 2016
SEACREST WEALTH MANAGEMENT, LLC
June 1, 2009 - April 30, 2012
MORGAN STANLEY
June 1, 2009 - April 30, 2012
MORGAN STANLEY
March 4, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 11, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CHEN FINANCIAL GROUP, LLC
CRD#: 133336 / SEC#:
Contact information
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.
