Robert C. Tsai
Professional summary
Robert C Tsai was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Robert had worked at 9 firms, which includes HARRISDIRECT LLC, E*TRADE SECURITIES LLC, TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, GARDEN STATE INVESTMENT ADVISORY SERVICES LLC, GARDEN STATE SECURITIES INC., MOMENTUM INDEPENDENT NETWORK INC., PHD CAPITAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2016 - May 2, 2017
HARRISDIRECT LLC
October 11, 2016 - May 2, 2017
E*TRADE SECURITIES LLC
January 14, 2016 - October 17, 2016
TD AMERITRADE, INC.
January 13, 2016 - October 17, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 11, 2016 - October 17, 2016
TD AMERITRADE, INC.
May 19, 2015 - January 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2015 - January 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2014 - November 20, 2014
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
January 2, 2014 - November 20, 2014
GARDEN STATE SECURITIES, INC.
April 16, 2013 - January 23, 2014
MOMENTUM INDEPENDENT NETWORK INC.
July 18, 2012 - January 23, 2014
MOMENTUM INDEPENDENT NETWORK INC.
January 1, 2012 - July 19, 2012
PHD CAPITAL
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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
Red Flags
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