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RL

Roy R. Lin

TIDAL PARTNERS
Palo Alto, CA 94301
Some features on this profile are disabled
CRD#: 6530971
RL

Professional summary

Roy Rong Lin, who also goes by Roy R Lin, is a registered financial professional currently at TIDAL PARTNERS located in Palo Alto, California.

Roy is registered as a RR (Registered Representative) and started their career in finance in 2015. Roy has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roy R Lin

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 Roy Rong Lin'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

July 28, 2023 - Present

TIDAL PARTNERS

Office #1: 260 Homer Avenue Suite 101, Palo Alto, CA 94301Office #2: 860 Broadway 5th Floor, New York, NY 10003
BD
CRD#: 323885
Palo Alto, CA
Past

August 23, 2022 - July 26, 2023

BA SECURITIES, LLC

BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past

September 25, 2018 - August 31, 2022

CENTERVIEW PARTNERS LLC

BD
CRD#: 133796
Palo Alto, CA
Past

October 22, 2015 - August 24, 2018

NOMURA GREENTECH CAPITAL ADVISORS, LLC

BD
CRD#: 149644
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: 11/12/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/22/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TIDAL PARTNERS
TIDAL PARTNERS | TIDAL PARTNERS, LLC

CRD#: 323885 / SEC#: , 8-71026

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
260 Homer Avenue Suite 101, Palo Alto, CA 94301
Mailing Address
260 Homer Avenue Suite 101, Palo Alto, CA 94301
Phone number
(650) 748-9021
Established
Delaware since 08/01/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TIDAL PARTNERS HOLDINGS LPMANAGER AND SOLE MEMBER
HANDLER, DAVID ALANCO-FOUNDER1824416
HYON, ELIZABETH SUSANCHIEF OPERATING OFFICER AND GENERAL COUNSEL
NEEQUAYE, DAVID K.CO-FOUNDER/CCO4840648
ROCHE, PASCALFINOP/PFO/POO5920968

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

TIDAL PARTNERS

CRD#: 323885Palo Alto, CA 94301

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