Carole Y. Zhou
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.
Carole Yuhuan Zhou, who also goes by Yuhuan Zuo, was a registered financial professional .
Carole is a previously registered financial professional and started their career in finance in 1996. Carole had worked at 4 firms and has passed the Series 63 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
December 6, 2005 - October 9, 2013
NI ADVISORS
October 30, 2003 - October 31, 2005
PENSION PLANNERS SECURITIES, INC.
July 8, 1997 - November 14, 2003
CHARLES SCHWAB & CO., INC.
March 12, 1997 - November 14, 2003
CHARLES SCHWAB & CO., INC.
September 11, 1996 - February 11, 1997
WMA SECURITIES, 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
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
