Finop · BCG Securities, Inc.
Phyllis Tsai
CRD 7200380 · Named on Form ADV at 2 SEC-registered advisers
At a glance
BCG Securities, Inc., an SEC-registered broker-dealer firm based in Cherry Hill, NJ with $894 million in regulatory assets, lists Phyllis Tsai on its Form ADV as Finop. The SEC filings also name Phyllis at 1 other registered adviser.
Firms and roles
- BCG Securities, Inc.FinopBroker-dealer firm · Cherry Hill, NJ · $894M in regulatory assets
- Horace Mann Investors, Inc.Finop, PFO, POOBroker-dealer firm · Springfield, IL · $0M in regulatory assets
AtlasMembers
Phyllis’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Linea Kate MichaelSecretary, BCG Securities, Inc.
- Troy Marshall GayleTreasurer, BCG Securities, Inc.
- Holley Watson TaylorChief Compliance Officer, BCG Securities, Inc.
- Jeffrey GarlattiNational Sales Manager, BCG Securities, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Phyllis’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.