Jim Z. Wang
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.
Jim Zhao Wang, who also goes by Jinzhao Wang, was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 1997. Jim had worked at 8 firms and has passed the Series 63, Series 55 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
January 4, 2012 - July 28, 2014
J. STREICHER & CO. L.L.C.
January 4, 2006 - March 30, 2007
KELLOGG CAPITAL MARKETS, LLC
January 6, 2005 - January 4, 2006
KELLOGG CAPITAL GROUP LLC
April 26, 2004 - December 17, 2004
SG AMERICAS SECURITIES, LLC
November 18, 2002 - April 26, 2004
COWEN AND COMPANY
September 5, 2002 - December 13, 2002
WORLDCO, L.L.C.
August 13, 2001 - August 13, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 27, 1997 - February 1, 2000
LEHMAN BROTHERS 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
Series 55
Date: 8/22/2001
Limited Representative-Equity Trader ExamCurrent Firm
J. STREICHER & CO. L.L.C.
CRD#: 3526 / SEC#: , 8-4342
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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