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HZ

Hui J. Zhang

ROC GLOBAL LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2497620
HZ

Professional summary

Hui John Zhang is a registered financial professional currently at ROC GLOBAL LLC located in New York, New York.

Hui is registered as a RR (Registered Representative) and started their career in finance in 1997. Hui has worked at 10 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 34, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hui John Zhang's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 4, 2019 - Present

ROC GLOBAL LLC

Office #1: 535 Fifth Avenue 4th Floor, New York, NY 10017
BD
CRD#: 154058
New York, NY
Past

October 8, 2013 - November 9, 2015

AIS CAPITAL MANAGEMENT L.P.

RIA
CRD#: 107971
WILTON, CT
Past

February 27, 2009 - December 18, 2013

FRONTERA MANAGEMENT, LLC

RIA
CRD#: 149404
NORWALK, CT
Past

March 17, 2008 - August 18, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
NEW YORK, NY
Past

September 7, 2007 - August 18, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
NEW YORK, NY
Past

May 10, 2006 - September 10, 2007

UST SECURITIES CORP.

BD
CRD#: 13906
NEW YORK, NY
Past

August 5, 2004 - April 6, 2005

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
NEW YORK, NY
Past

November 3, 2003 - April 6, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

February 19, 2003 - April 10, 2003

CAL FP (US), INC.

BD
CRD#: 37412
NEW YORK, NY
Past

July 29, 1998 - November 10, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 23, 1997 - August 12, 1998

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 29, 1997 - September 23, 1997

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/4/2019)
RR
New York
(1/4/2019)
RR
Texas
(1/4/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/7/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/4/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 12/30/2011
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 1/15/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 2/12/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/28/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RG
ROC GLOBAL LLC
ROC GLOBAL LLC | ROC GLOBAL SECURITIES LLC

CRD#: 154058 / SEC#: , 8-68605

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
535 Fifth Avenue 4th Floor, New York, NY 10017
Mailing Address
535 Fifth Avenue 4th Floor, New York, NY 10017
Phone number
(646) 218-9841
Established
Connecticut since 06/12/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ROC GLOBAL HOLDINGS LLCOWNER
GAROFOLI, JOSEPH ANTHONY IIICEO, CCO1743163
MUSCIO, ARTHUR PAULFINOP, CFO1970938

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ROC GLOBAL LLC

CRD#: 154058New York, NY 10017

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