DRAGON FINANCIAL AND INVESTMENT GROUP, LLC
Legal name: DRAGON FINANCIAL GROUP
CRD #282113 SEC #801-106920 SAN MATEO, CA 650-571-8888
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
7
Clients
0
Accounts
0
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 26, 2020
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MAH, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAH, JOSEPH, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DRAGON GLOBAL SERVICES, LLC | DE | HOLDING COMPANY | 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 |
| 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 |
| DRAGON GLOBAL SERVICES, LLC | DE | MANAGING MEMBER | E | Control |
| MERCER ADVISORS INC. | DE | PARENT COMPANY | E | Control |
| MERCER ADVISORS INC. | DE | PARENT COMPANY | E | Control |
| MERCER ADVISORS INC. | DE | PARENT COMPANY | E | Control |
| MERCER ADVISORS INC. | DE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AU, ALFRED | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| AU, ALFRED, HO FAI | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| MAH, JOSEPH, C | I | DRAGON GLOBAL SERVICES, LLC | F | |
| CHAO, MARIE | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| CHAO, MARIE, YIP | I | DRAGON GLOBAL SERVICES, LLC | E | Control |
| GC WAVES HOLDINGS, INC. | DE | MERCER ADVISORS INC. | E | |
| GC WAVES HOLDINGS, INC. | DE | MERCER ADVISORS INC. | E | |
| GC WAVES HOLDINGS, INC. | DE | MERCER ADVISORS INC. | E |
Registrations
Federal
IA
Jun 26, 2020 REGISTERED
Notice Filings (2)
CA TX
Address
1700 S. EL CAMINO REALSUITE 200
SAN MATEO, CA 94402
United States
Phone: 650-571-8888