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TL

Tuan H. Lang

GRIFFIN CAPITAL SECURITIES
IRVINE, CA 92614
Some features on this profile are disabled
CRD#: 6682817
TL

Professional summary

Tuan Huu Lang, who also goes by David Lang, is a registered financial professional currently at GRIFFIN CAPITAL SECURITIES, LLC located in Irvine, California.

Tuan is registered as a RR (Registered Representative) and started their career in finance in 2017. Tuan has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Lang

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 Tuan Huu Lang's CRS (Customer Relationship Summary).
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

September 11, 2017 - Present

GRIFFIN CAPITAL SECURITIES, LLC

Office #1: 2010 Main Street Suite 530, Irvine, CA 92614
BD
CRD#: 37739
IRVINE, CA

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 9/11/2017
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GRIFFIN CAPITAL SECURITIES, LLC
GRIFFIN CAPITAL | HIGHLAND CAPITAL GROUP | HIGHLAND CAPITAL | GRIFFIN CAPITAL SECURITIES, LLC | GRIFFIN CAPITAL SECURITIES, INC.

CRD#: 37739 / SEC#: , 8-47891

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2010 Main Street Suite 530, Irvine, CA 92614
Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614
Phone number
(949) 270-9300
Established
Delaware since 09/28/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
GOOD, ALBACCO2504071
ISHIOKA, RODNEY SHOJISECRETARY3124257
LANG, TUAN HUUFINOP6682817
WALKER, JACOB FREDERICKCEO & CHAIRMAN OF THE BOARD5020296

Disclosures

Regulatory Event2

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

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739Irvine, CA 92614

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