Duncan Hsia
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.
Duncan Hsia was a registered financial professional .
Duncan is a previously registered financial professional and started their career in finance in 2024. Duncan had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2024 - January 20, 2025
NEOKAI CAPITAL
State Registrations and Notice Filings
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Current Firm
NEOKAI CAPITAL
CRD#: 319006 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 225 |
| AUM (Assets Under Management) | $ 43,410,868 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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