Individual Firm
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ANDREW CHOW TANG
ANDREW C TANG, Andrew Tang
CRD#: 3165352
IA
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CHARLES SCHWAB & CO., INC.CRD#: 5393 30 South First Street
Campbell, CA 95008
Campbell, CA 95008
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3/9/2009
Customer Dispute
Closed-No Action
State Registrations
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California 9/1/2022
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California 9/2/2022
SRO Registrations
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Registered with this firm since 9/2/2022
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Registered with this firm since 9/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/09/2023 - 07/29/2024 | Campbell, CA | |
IA | 07/13/2018 - 08/19/2022 | BOSTON, MA | |
B | 04/10/2012 - 08/15/2022 | SAN JOSE, CA | |
IA | 04/18/2012 - 07/13/2018 | SAN JOSE, CA | |
IA | 08/18/2011 - 03/26/2012 | SAN FRANCISCO, CA | |
B | 08/18/2011 - 03/26/2012 | SAN FRANCISCO, CA | |
IA | 01/14/2002 - 08/08/2011 | CUPERTINO, CA | |
B | 08/29/2001 - 08/08/2011 | CUPERTINO, CA |
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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.
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