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AT

Anna Tse

Some features on this profile are disabled
CRD#: 6402475
AT

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.

Anna Tse was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 2018. Anna had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 11, 2022 - April 1, 2026

GEMINI GALACTIC MARKETS, LLC

BD
CRD#: 304761
NEW YORK, NY
Past

September 24, 2018 - April 1, 2021

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/4/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/4/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2022
General Securities Principal Examination

Current Firm

GG
GEMINI GALACTIC MARKETS, LLC
GEMINI GALACTIC MARKETS, LLC

CRD#: 304761 / SEC#: , 8-70369

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
315 Park Avenue South, New York, NY 10010
Mailing Address
315 Park Avenue South, New York, NY 10010
Phone number
(646) 751-4449
Established
Delaware since 02/28/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GEMINI SPACE STATION, LLCSHAREHOLDER
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
RUTITSKIY, DMITRIYFINOP/PFO6117665
TSE, ANNACHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR6402475

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

GEMINI GALACTIC MARKETS, LLC

CRD#: 304761

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