Loreen Sam
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.
Loreen Sam was a registered financial professional .
Loreen is a previously registered financial professional and started their career in finance in 2020. Loreen had worked at 4 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2023 - June 7, 2024
TZERO SECURITIES, LLC
September 26, 2023 - June 7, 2024
TZERO MARKETS
March 5, 2020 - September 11, 2023
CLSA AMERICAS, LLC
March 5, 2020 - September 11, 2023
CITIC SECURITIES INTERNATIONAL USA, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 3/5/2020
Operations Professional ExaminationCurrent Firm
TZERO SECURITIES, LLC
CRD#: 123421 / SEC#: , 8-65585
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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