Tian Yu Cai
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.
Tian Yu Cai was a registered financial professional .
Tian Yu is a previously registered financial professional and started their career in finance in 2010. Tian Yu had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - December 31, 2014
UPTREND CAPITAL LLC
February 12, 2010 - December 18, 2011
G & W CAPITAL LLC
State Registrations and Notice Filings
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Current Firm
UPTREND CAPITAL LLC
CRD#: 153836 / SEC#:
Contact information
Red Flags
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