Bin Ru Cai
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.
Bin Ru Cai, who also goes by Binru Cai, was a registered financial professional .
Bin Ru is a previously registered financial professional and started their career in finance in 1995. Bin Ru had worked at 10 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2007 - July 10, 2014
UNIVEST SECURITIES, LLC
July 1, 2002 - August 29, 2005
MORGAN STANLEY DW INC.
July 1, 2002 - August 29, 2005
MORGAN STANLEY DW INC.
January 9, 2002 - June 26, 2002
NATIONAL CLEARING CORP.
September 4, 2001 - November 12, 2001
SANDGRAIN SECURITIES LLC
June 12, 2001 - September 10, 2001
EQUITABLE ADVISORS, LLC
June 1, 1999 - April 4, 2001
HAPOALIM SECURITIES USA, INC.
September 10, 1996 - June 1, 1999
STUART, COLEMAN & CO., INC.
April 8, 1996 - March 10, 1997
INVESTORS ASSOCIATES, INC.
December 11, 1995 - April 18, 1996
CHATFIELD DEAN & CO., INC.
September 27, 1995 - October 16, 1995
DICKINSON & CO.
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
Current Firm
UNIVEST SECURITIES, LLC
CRD#: 36105 / SEC#: , 8-47006
Contact information
FINRA licenses (26 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
