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JM

Jimmy Mao

EAST WEST MARKETS
DALLAS, TX 75244
Some features on this profile are disabled
CRD#: 2844467
JM

Professional summary

Jimmy Mao, who also goes by Jimmy Shen Tsen Mao, Jimmy Shentsen Mao, Jimmy S Mao, Jimmy Shen-tsen Mao, is a registered financial professional currently at EAST WEST MARKETS, LLC located in Dallas, Texas.

Jimmy is registered as a RR (Registered Representative) and started their career in finance in 1998. Jimmy has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jimmy Shen Tsen Mao | Jimmy Shentsen Mao | Jimmy S Mao | Jimmy Shen-Tsen Mao

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 Jimmy Mao'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

December 19, 2024 - Present

EAST WEST MARKETS, LLC

Office #1: 5001 Spring Valley Road Suite 400w, Dallas, TX 75244
BD
CRD#: 146871
DALLAS, TX
Past

May 19, 2022 - November 5, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
IRVINE, CA
Past

July 6, 2017 - April 1, 2022

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
IRVINE, CA
Past

May 29, 2007 - December 15, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FOUNTAIN VALLEY, CA
Past

February 6, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
FOUNTAIN VALLEY, CA
Past

November 2, 1998 - July 5, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
California
(12/19/2024)
RR
Texas
(12/19/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/19/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EW
EAST WEST MARKETS, LLC
EAST WEST MARKETS, LLC | ENSTREAM CAPITAL SECURITIES, LLC | ENSTREAM CAPITAL MARKETS, LLC

CRD#: 146871 / SEC#: , 8-67858

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

Main Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Mailing Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Phone number
(469) 801-7397
Established
Texas since 07/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EAST WEST BANKCORP, INC.SOLE MEMBER
CHIN, PHYLLIS NYUK FAHFINOP/PFO6250921
DOHERTY, JAMES HUGHPOO4197747
HALASY, HALECCO1837514
HOUGH, DAVID BREWSTERCHIEF EXECUTIVE OFFICER4394641

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

EAST WEST MARKETS, LLC

CRD#: 146871Dallas, TX 75244

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