Qing Sheng
Professional summary
Qing Sheng is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Qing is registered as a RR (Registered Representative) and started their career in finance in 1997. Qing has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Qing Sheng's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2023 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169December 13, 2010 - May 13, 2015
UBS SECURITIES LLC
May 23, 2005 - January 10, 2006
DEAM INVESTOR SERVICES, INC.
February 3, 2003 - February 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2000 - September 18, 2001
DEUTSCHE BANK SECURITIES INC.
April 7, 1997 - May 13, 1999
CREDIT SUISSE SECURITIES (USA) LLC
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 57TO
Date: 2/23/2023
Securities Trader ExamSeries 55
Date: 1/7/2011
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR/CEO SECURITIES | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 76 |
Red Flags
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