Meng Piao Tan
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.
Meng Piao Tan, who also goes by David Tan, was a registered financial professional .
Meng Piao is a previously registered financial professional and started their career in finance in 2008. Meng Piao had worked at 4 firms and has passed the Series 63, 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
June 4, 2012 - November 21, 2014
FM PARTNERS HOLDINGS LLC
May 22, 2012 - May 26, 2016
LAZARD FRERES & CO. LLC
August 6, 2010 - May 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 2008 - February 3, 2010
DC ADVISORY
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
FM PARTNERS HOLDINGS LLC
CRD#: 134736 / SEC#: , 8-66861
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMDC HOLDINGS LLC | MANAGING MEMBER | |
| ROSENBERG, WILLIAM BRUCE | CEO, CFO, COO, CCO | 1722850 |
Disclosures
| Regulatory Event | 15 |
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.
