Jian Y. Zhang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jian Yuan Zhang, who also goes by James Zhang, was a registered financial professional .
Jian is a previously registered financial professional and started their career in finance in 1995. Jian had worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2006 - April 23, 2012
TERRANOVA CAPITAL EQUITIES, INC
October 6, 1998 - December 31, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 1998 - April 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1996 - November 10, 1998
CHARLES SCHWAB & CO., INC.
November 22, 1995 - April 17, 1996
PFI, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/17/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
