Details

ELTON HSU NFA ID: 0365285 Current Status BACERA ASSET MANAGEMENT LLC  • NFA ASSOCIATE MEMBER APPROVED  • ASSOCIATED PERSON REGISTERED  Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 1 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date BACERA ASSET MANAGEMENT LLC  • NFA ASSOCIATE MEMBER APPROVED 01/20/2011  • ASSOCIATED PERSON REGISTERED 01/20/2011  • NFA ASSOCIATE MEMBER PENDING 08/05/2010  • ASSOCIATED PERSON PENDING 08/04/2010  BACERA CORPORATION  • PRINCIPAL WITHDRAWN 12/17/2008  • ASSOCIATED PERSON WITHDRAWN 12/17/2008  • NFA ASSOCIATE MEMBER WITHDRAWN 12/17/2008  • PRINCIPAL APPROVED 09/25/2006  • NFA ASSOCIATE MEMBER APPROVED 02/14/2006  • ASSOCIATED PERSON REGISTERED 02/14/2006  • NFA ASSOCIATE MEMBER PENDING 01/26/2006  • NFA ASSOCIATE MEMBER WITHDRAWN 01/26/2006  • ASSOCIATED PERSON PENDING 01/26/2006  • ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN 01/26/2006  • NFA ASSOCIATE MEMBER APPROVED 01/05/2006  • ASSOCIATED PERSON TEMPORARY LICENSE 01/05/2006  RINGOR, VICTOR LEE  • PRINCIPAL PENDING STATUS WITHDRAWN 04/13/2009  • PRINCIPAL PENDING 03/02/2009