Cuiying Zhang
Professional summary
Cuiying Zhang, who also goes by Tracy Cuiying Richardson, Tracy Cuiying Zhang, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in La Palma, California.
Cuiying is registered as a RR (Registered Representative) and started their career in finance in 1999. Cuiying has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cuiying Zhang's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2002 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 7002 Moody St Ste 102, La Palma, CA 90623-1181Office #2: 1012 Huntington Dr, San Marino, CA 91108-1828May 10, 2000 - September 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 2000 - September 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 1999 - February 29, 2000
PYRAMID FINANCIAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2002)
Exams
Series 11
Date: 12/8/1997
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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