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AC

Albert Chao

GALAXY DIGITAL PARTNERS LLC
New York, NY 10282
Some features on this profile are disabled
CRD#: 6081607
AC

Professional summary

Albert Chao is a registered financial professional currently at GALAXY DIGITAL PARTNERS LLC located in New York, New York.

Albert is registered as a RR (Registered Representative) and started their career in finance in 2015. Albert has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Albert Chao's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 13, 2019 - Present

GALAXY DIGITAL PARTNERS LLC

Office #1: 300 Vesey Street 13th Floor, New York, NY, 10282
BD
CRD#: 289605
New York, NY
Past

July 26, 2018 - January 23, 2019

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

September 22, 2015 - June 20, 2018

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

May 15, 2015 - August 21, 2015

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/13/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 6/12/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/15/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GD
GALAXY DIGITAL PARTNERS LLC
GALAXY DIGITAL ADVISORS LLC | J. FRED MUGGS SECURITIES LLC | GALAXY DIGITAL PARTNERS LLC

CRD#: 289605 / SEC#: , 8-70001

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Vesey Street 13th Floor, New York, NY, 10282
Mailing Address
300 Vesey Street 13th Floor, New York, NY, 10282
Phone number
(347) 229-4993
Established
New York since 07/18/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GALAXY DIGITAL LPSOLE MEMBER
ALAYO, JUNNETTE DALENNACCO7478032
ASHE, MICHAEL LAWRENCECEO4839353
RICO, ROBERT DFINOP/CFO/PFO6613472
ROACH, PATRICK JOSEPHCOO/POO2296361

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.

Company Information

GALAXY DIGITAL PARTNERS LLC

CRD#: 289605New York, NY 10282

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