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TL

Tsering L. Lama

ARENA FINANCIAL SERVICES
New York, NY 10174
Some features on this profile are disabled
CRD#: 7818283
TL

Professional summary

Tsering Lhasang Lama is a registered financial professional currently at ARENA FINANCIAL SERVICES, LLC located in New York, New York.

Tsering is registered as a RR (Registered Representative) and started their career in finance in 2024. Tsering has worked at 1 firm and has passed the Series 14 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tsering Lhasang Lama'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

October 1, 2024 - Present

ARENA FINANCIAL SERVICES, LLC

Office #1: 405 Lexington Avenue 59th Floor, New York, NY 10174
BD
CRD#: 281709
New York, NY

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

Principal/Supervisory Exam
RR
Series 14
Date: 9/28/2024
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ARENA FINANCIAL SERVICES, LLC
ARENA FINANCIAL SERVICES, LLC

CRD#: 281709 / SEC#: , 8-69682

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
405 Lexington Avenue 59th Floor, New York, NY, 10174
Mailing Address
405 Lexington Avenue 59th Floor, New York, NY, 10174
Phone number
(212) 612-3203
Established
Delaware since 06/04/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
ARENA INVESTORS GROUP HOLDINGS, LLCOWNER
CUTLER, LAWRENCE DAVIDPRESIDENT/ CEO4404656
GEORGE, THOMAS KEITHFINOP, PFO POO5378303
LAMA, TSERING LHASANGCCO7818283

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

ARENA FINANCIAL SERVICES, LLC

CRD#: 281709New York, NY 10174

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