Tiffany Chau
Professional summary
Tiffany Chau is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Costa Mesa, California.
Tiffany is registered as a RR (Registered Representative) and started their career in finance in 2025. Tiffany has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tiffany Chau's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2026 - Present
CAPFINANCIAL SECURITIES, LLC.
Office #1: 1124 Bristol Street, Costa Mesa, CA 92626September 9, 2025 - April 20, 2026
CION SECURITIES, LLC
April 19, 2025 - September 9, 2025
MIT ASSOCIATES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/24/2026)
Exams
Series 7TO
Date: 4/18/2025
General Securities Representative ExaminationFINRA
Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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