Xin Tong
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.
Xin Tong, who also goes by Flora Tong, was a registered financial professional .
Xin is a previously registered financial professional and started their career in finance in 2017. Xin had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2017 - June 14, 2019
GUOTAI JUNAN SECURITIES USA, INC.
May 25, 2017 - September 26, 2017
GUOTAI JUNAN SECURITIES USA, INC.
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
GUOTAI JUNAN SECURITIES USA, INC.
CRD#: 283550 / SEC#: , 8-69762
Contact information
Documents
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.
