Cathay Securities, Inc.

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
10
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
21821
Registered since
March 11, 1988

Firm profile

FINTRX

Overview

Cathay Securities, Inc. is organized as a corporation and is recorded with ownership listed as a mix of domestic entity, foreign entity and individual owners. The firm's regulatory classification is listed as unclassified. Available profile data shows it does not operate as a capital allocator and is not identified as an active ESG investor. It is not flagged as a multi-state adviser, a newly formed adviser, a pension consultant, or a related adviser. The firm has provided minimal public detail about its business lines, advisory activities, client segments, or fee schedules, so its market positioning and service model cannot be determined from the current disclosure.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Mark Zagotti

    Mark Zagotti

    CEO & CCOCRD 2534369

  • Peter Stack

    Peter Stack

    Independent ContractorCRD 4177338

Contacts

3 of 8
  • Xiaoyu Li

    Xiaoyu Li

    DirectorCRD 7546684

  • Ruiwen Zeng

    Investment Advisory RepresentativeCRD 7604206

  • Yue Zou

    MemberCRD 7528367

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
40 Wall St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth