Albert L. 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.
Albert Likai Tan was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 2012. Albert had worked at 5 firms and has passed the Series 66, 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
January 3, 2017 - September 5, 2019
NUVEEN SECURITIES, LLC
June 15, 2015 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 20, 2014 - May 11, 2015
FREEDOM INVESTORS CORP.
September 6, 2013 - November 28, 2014
CALTON & ASSOCIATES, INC.
August 16, 2012 - August 15, 2013
LAMPERT CAPITAL MARKETS INC.
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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
