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AT

Anna Tse

GEMINI GALACTIC MARKETS
New York, NY 10010
Some features on this profile are disabled
CRD#: 6402475
AT

Professional summary

Anna Tse is a registered financial professional currently at GEMINI GALACTIC MARKETS, LLC located in New York, New York.

Anna is registered as a RR (Registered Representative) and started their career in finance in 2018. Anna has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 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 Anna Tse's 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

August 11, 2022 - Present

GEMINI GALACTIC MARKETS, LLC

Office #1: 315 Park Avenue South, New York, NY 10010
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.

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
(1/4/2023)

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
SRO Registrations
RR
FINRA

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)
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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#: 304761New York, NY 10010

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