Benjamin Tsai

WAVE DIGITAL ASSETS LLC

Los Angeles, CA 90025

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CRD#: 6915217

Professional summary

Benjamin Tsai is a registered financial advisor currently at WAVE DIGITAL ASSETS LLC located in Los Angeles, California.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Benjamin has worked at 3 firms and has passed the Series 65, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

BUSINESS NAME: EAST VENTURES PTE., LTD LOCATED IN SINGAPORE. PASSIVE INVESTOR EFFECTIVE 04/15/2010

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Tsai'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

January 2, 2020 - Present

WAVE DIGITAL ASSETS LLC

Office #1: 12400 Wilshire Boulevard, Los Angeles, CA 90025

RIA

CRD#: 305726

Los Angeles, CA

Past

May 24, 2018 - June 18, 2020

WAVE FINANCIAL

RIA

CRD#: 292343

LOS ANGELES, CA

Past

January 9, 2002 - March 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WAVE DIGITAL ASSETS LLC

WAVE DIGITAL ASSETS LLC | WAVE FINANCIAL LLC

CRD#: 305726 / SEC#: 801-121282

RIA

Registered Investment Advisory firm - (5/21/2021 Approved)

California

Registered Investment Advisory firm - (7/14/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 7/17/2020

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/7/2002

General Securities Representative Examination

Current Firm

WAVE DIGITAL ASSETS LLC

WAVE DIGITAL ASSETS LLC | WAVE FINANCIAL LLC

CRD#: 305726 / SEC#: 801-121282

RIA

Registered Investment Advisory firm - (5/21/2021 Approved)

California

Registered Investment Advisory firm - (7/14/2021 Terminated)

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Contact information

Main Address

12400 Wilshire Boulevard, Los Angeles, CA 90025

Mailing Address

Phone number

(213) 533-9899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVE DIGITAL ASSETS LLC ADV PART 2A BROCHURE (5/9/2025)

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 351,570,475

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.

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Benjamin Tsai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Tsai's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAVE DIGITAL ASSETS LLC

WAVE FINANCIAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WAVE DIGITAL ASSETS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2017

Series 3

Date: 7/17/2020

Series 7

Date: 1/7/2002

Current Firm

WAVE DIGITAL ASSETS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAVE DIGITAL ASSETS LLC

TRUST BUT VERIFY

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