Tan M. Chau
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.
Tan Minh Chau was a registered financial professional .
Tan is a previously registered financial professional and started their career in finance in 2009. Tan had worked at 1 firm and has passed the SIE, Series 7, Series 3, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2009 - June 10, 2022
ALPHAMAX DISTRIBUTORS, L.L.C.
State Registrations and Notice Filings
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Exams
Series 28
Date: 9/14/2019
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALPHAMAX DISTRIBUTORS, L.L.C.
CRD#: 8258 / SEC#: , 8-24931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSBORNE, MATTHEW CHARLES | CHIEF EXECUTIVE OFFICER & CIO, CCO | 2949871 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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