Hua Ling Z. Tsoi
Professional summary
Hua Ling Zhao Tsoi, who also goes by Hualing Tsoi, Hualing Zhao Tsoi, Hua Ling Zhao, Hualing Zhao, is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.
Hua Ling is registered as a RR (Registered Representative) and started their career in finance in 2014. Hua Ling has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hua Ling Zhao Tsoi's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 450 Sansome Street 4th Floor, San Francisco, CA 94111January 4, 2022 - April 11, 2024
COWEN AND COMPANY
February 15, 2019 - March 31, 2021
MORGAN STANLEY & CO. LLC
April 18, 2018 - July 13, 2018
QATALYST PARTNERS LP
September 19, 2016 - April 12, 2018
COWEN AND COMPANY
September 16, 2014 - July 21, 2016
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2025)
(8/29/2025)
Exams
FINRA
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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