Eric X. Zhao
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.
Eric Xiao Dong Zhao, who also goes by Eric Zhao, XIao Dong Zhao, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2009 - November 11, 2019
EZ FINANCIAL GROUP INC.
June 1, 2007 - December 31, 2008
EZ FINANCIAL GROUP INC.
October 30, 2000 - March 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 17, 2000 - March 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 1998 - December 9, 1999
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
EZ FINANCIAL GROUP INC.
CRD#: 143813 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 7,713,410 |
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.
