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Ken Tsang

Citigroup Global Markets Inc.

Tustin, CA

Fountain Valley, CA

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-01
  • CA RA
    APPROVED
    Since 2026-01-01

Branch Locations

Cwm Retail, Sales 13211 Jamboree Road, Tustin, CA 92782 • United States

Citi Wealth Management, Sales 17400 Brookhurst St., Ste 200, Fountain Valley, CA 92708 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hsbc Bank Usa, N.A. Rowland Hts CA 05/2019 10/2025
Hsbc Securities (Usa) Inc. Rowland Hts CA 11/2020 10/2025
Wells Fargo Bank N.A. South El Monte CA 06/2017 05/2019
Tristar Risk Management/Tristar Managed Care Long Beach CA 10/2010 08/2018
Elewish Inc City Of Industry CA 08/2014 05/2017
Citigroup Tustin Ranch CA 11/2025 Present
  • 05/2019 → 10/2025
    Hsbc Bank Usa, N.A.
    Rowland Hts, CA
  • 11/2020 → 10/2025
    Hsbc Securities (Usa) Inc.
    Rowland Hts, CA
  • 06/2017 → 05/2019
    Wells Fargo Bank N.A.
    South El Monte, CA
  • 10/2010 → 08/2018
    Tristar Risk Management/Tristar Managed Care
    Long Beach, CA
  • 08/2014 → 05/2017
    Elewish Inc
    City Of Industry, CA
  • 11/2025 → Present
    Citigroup
    Tustin Ranch, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-28
S63 Uniform Securities Agent State Law Examination 2021-04-26
  • S66 Uniform Combined State Law Examination
    2025-12-28
  • S63 Uniform Securities Agent State Law Examination
    2021-04-26
Other Names
  • Kwok Wai Tsang
  • Ken Kwokwai Tsang

View on SEC IAPD

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EQUITABLE ADVISORS, LLC
KFICO, LLC REGISTERED INVESTMENT ADVISOR
CAPITAL SYNERGY PARTNERS
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

Other Investors

DAVID LEONARD VAN OVEREEM
TU ANH TRAN
CHRISTOPHER KEYS
BHOOPINDER SINGH KOHLI
ANDREW ALAN HOLDEN
GILBERT LANCE TALBERT
STEPHEN CHRISTOPHER CLIFFORD
JOHN ERIC SEEL

Other Offices

RMR CAPITAL MANAGEMENT LLC · TUSTIN, CA
CROSSPOINT FINANCIAL, LLC · TUSTIN, CA
EQUITABLE ADVISORS, LLC · TUSTIN, CA
KFICO, LLC REGISTERED INVESTMENT ADVISOR · TUSTIN, CA
CAPITAL SYNERGY PARTNERS · IRVINE, CA
LPL FINANCIAL LLC · IRVINE, CA
PARK AVENUE SECURITIES LLC · IRVINE, CA
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · Irvine, CA

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