Toan H. Ta
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.
Toan Huu Ta was a registered financial professional .
Toan is a previously registered financial professional and started their career in finance in 2013. Toan had worked at 1 firm and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2013 - May 8, 2014
AURORA CAPITAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
AURORA CAPITAL LLC
CRD#: 37924 / SEC#: , 8-48069
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
