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ERNESTO DAVID TONG
ERNESTO TONG
CRD#: 5414392
IA
B
PENSERRA CAPITAL MANAGEMENT LLCCRD#: 159042 4 ORINDA WAY
SUITE 100-A
ORINDA, CA 94563
SUITE 100-A
ORINDA, CA 94563
PENSERRA SECURITIES, LLCCRD#: 145994 4 ORINDA WAY
Suite 100-A
ORINDA, CA 94563
Suite 100-A
ORINDA, CA 94563
0
Disclosures
17
Years of Experience
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State Registrations
B
California 4/28/2015
B
New York 4/28/2015
IA
California 1/5/2018
SRO Registrations
B
B
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IA
Registered with this firm since 1/5/2018
B
Registered with this firm since 4/28/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/18/2019 - 04/19/2022 | ORINDA, CA | |
IA | 04/28/2015 - 12/31/2017 | ORINDA, CA | |
B | 08/05/2013 - 04/07/2015 | SAN FRANCISCO, CA | |
B | 11/14/2007 - 08/05/2013 | SAN FRANCISCO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.