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Detailed Report
YU-LUNG TSAO
YU LUNG TSAO
CRD#: 2134784
IA
Investment Adviser
B
Broker
GRIFFINEST ASIA ASSET MANAGEMENT, LLCCRD#: 306355 Taipei City,
GRIFFINEST ASIA SECURITIES, LLCCRD#: 132187 Taipei City,
Registration History
1995200020052010201520202025IAGRIFFINEST ASIA ASSET MANAGEME... (CRD# 306355)2021 - Present (4 years)BGRIFFINEST ASIA SECURITIES, LLC (CRD# 132187)2017 - Present (7 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2008 (1 year)BPRUDENTIAL EQUITY GROUP, LLC (CRD# 7471)2000 - 2005 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 2000 (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 1996 (4 years)
License(s)

State Registrations

IA
California 3/23/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GRIFFINEST ASIA ASSET MANAGEMENT, LLC (CRD#:306355)
Taipei City,
Registered with this firm since 3/23/2021
B
GRIFFINEST ASIA SECURITIES, LLC (CRD#:132187)
Taipei City,
Registered with this firm since 7/11/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
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 08/27/2007 - 12/01/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 12/19/2000 - 10/12/2005 PRUDENTIAL EQUITY GROUP, LLC (CRD#:7471) NEW YORK, NY
B
 03/28/1991 - 12/07/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 10/17/1991 - 04/12/1996 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.