Tian Yang
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.
Tian Yang was a registered financial professional .
Tian is a previously registered financial professional and started their career in finance in 2016. Tian had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2016 - November 18, 2016
TKC WEALTH MANAGEMENT LLC
March 1, 2016 - June 21, 2017
RICHFIELD ORION INTERNATIONAL, INC.
Primary Firm SEC Registration
TKC WEALTH MANAGEMENT LLC
CRD#: 158498 / SEC#: 801-133951
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TKC WEALTH MANAGEMENT LLC
CRD#: 158498 / SEC#: 801-133951
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 284 |
| AUM (Assets Under Management) | $ 138,585,943 |
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.
