Maureen Mutuc Tung
Professional Summary
Maureen Mutuc Tung, who also goes by Maureen Dejesus Mutuc, is a registered financial advisor currently at TASTYTRADE, INC. located in Chicago, Illinois. Maureen is registered as a RR (Registered Representative) and started their career in finance in 2019. Maureen has worked at 1 firm and has passed the Series 63, Series 3, Series 7TO, SIE, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Maureen Mutuc Tung, Maureen Dejesus Mutuc
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Disclosures on record.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Years of Experience
7 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Current Firm
TASTYTRADE, INC. | TASTYWORKS, INC.
Contact Information
Main Address
1330 West Fulton Street Suite 600, Chicago, IL 60607Mailing Address
1330 West Fulton Street Suite 600, Chicago, IL 60607Phone Number
(312) 724-7075Established
Delaware since 06/22/2015Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TASTYLIVE, INC. | OWNER | — |
| CHIOU, JASON | HEAD OF CLIENT BROKERAGE SERVICES | 6757512 |
| CORSO, JOSEPH ROBERT | PRESIDENT AND HEAD OF BROKERAGE | 4025105 |
| GRACE, CHRISTOPHER WILLIAM | INTERIM CHIEF OPERATING OFFICER | 5985000 |
| JANIK, JEREMY | AML COMPLIANCE OFFICER | 4859798 |
| JOHNSON, THOMAS WILLIAM | CHIEF COMPLIANCE OFFICER | 5421745 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
Regulatory Event
3Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
(7/1/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - BD
Click below to view Maureen Mutuc Tung's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.