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TF

Tao Feng

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CRD#: 6621217
TF

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.

Tao Feng was a registered financial professional .

Tao is a previously registered financial professional and started their career in finance in 2018. Tao had worked at 4 firms and has passed the Series 66, SIE, Series 7 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.
BBAE Advisors LLC, Portfolio Manager, Plano, TX, managing a model portfolio to generate target income, 10 hours per month, from Mar2018 to now

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

March 10, 2022 - December 5, 2022

PRIME NUMBER CAPITAL, LLC

BD
CRD#: 297029
NEW YORK, NY
Past

April 27, 2018 - August 17, 2022

BBAE ADVISORS LLC

RIA
CRD#: 269900
West Covina, CA
Past

April 27, 2018 - July 3, 2019

REDBRIDGE SECURITIES LLC

BD
CRD#: 287912
PLANO, TX
Past

January 10, 2018 - March 29, 2018

BROAD INVESTMENT SECURITIES LLC

RIA
CRD#: 290775
BEIJING,

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
IAR
Series 66
Date: 9/30/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/2016
General Securities Principal Examination

Current Firm

PN
PRIME NUMBER CAPITAL, LLC
PRIME NUMBER CAPITAL, LLC

CRD#: 297029 / SEC#: , 8-70118

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
12 E. 49th Street, Tower 49 27th Floor, New York, NY 10017
Mailing Address
12 E. 49th Street, Tower 49 27th Floor, New York, NY 10017
Phone number
(516) 209-0619
Established
Delaware since 01/27/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRIME NUMBERS CAPITAL LLCOWNER
SHENG, HAOCCO/COO/FINOP/ELECTED MANAGER/MEMBER6949903
YAN, QIONG NMNPASSIVE SHAREHOLDER7995566
YANG, SHENGHUICEO7011316
YEUNG, WILSON SIU FAIPASSIVE SHAREHOLDER7997361

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

PRIME NUMBER CAPITAL, LLC

CRD#: 297029

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