DRAGON FINANCIAL AND INVESTMENT GROUP, INC.
Legal name: DRAGON FINANCIAL GROUP
CRD #157936 SEC #801-79669 SAN MATEO, CA 650-571-8888
SEC Registered
Total AUM
$115M
Discretionary
$102M
Employees
5
Clients
0
Accounts
710
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 7, 2014
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DINGLER, NATHAN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DINGLER, NATHAN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DINGLER, NATHAN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DINGLER, NATHAN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHAO, WALTER, RAE | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| CHAO, WALTER, RAE | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| CHAO, WALTER, RAE | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| CHAO, WALTER, RAE | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| CHAO, WALTER, RAE | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| CHAO, WALTER, RAE | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CHAO, WALTER, RAE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, WALTER, RAE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, WALTER, RAE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, WALTER, RAE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, WALTER, RAE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, WALTER, RAE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
Registrations
Federal
IA
May 7, 2014 REGISTERED
Notice Filings (2)
CA TX
Address
1700 S. EL CAMINO REAL #501SAN MATEO, CA 94402
United States
Phone: 650-571-8888