Iris Y. Zhao-fiorello
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.
Iris Yue Zhao-fiorello, who also goes by Iris Yue Zhao, Yue Zhao, was a registered financial professional .
Iris is a previously registered financial professional and started their career in finance in 2002. Iris had worked at 3 firms and has passed the Series 63, Series 7TO, SIE 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
May 7, 2014 - May 29, 2020
GRV SECURITIES LLC
January 22, 2004 - February 14, 2014
CREDIT SUISSE SECURITIES (USA) LLC
October 9, 2002 - January 29, 2004
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/1/2024
General Securities Representative ExaminationCurrent Firm
GRV SECURITIES LLC
CRD#: 138348 / SEC#: , 8-67160
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GCM GROSVENOR L.P. | SOLE MEMBER | 108654 |
| DANIEL, DAWNA LYNNE | CHIEF COMPLIANCE OFFICER | 5137048 |
| HENRICH, DIANNA LEA | MANAGING DIRECTOR | 4695780 |
| MONTGOMERY, BURKE JOHNSON | GENERAL COUNSEL | 5067591 |
| SACKS, MICHAEL JAY | MANAGER/CHIEF EXECUTIVE OFFICER | 2077424 |
| SULLIVAN, KATHLEEN PATRICIA | FINANCIAL AND OPERATIONS PRINCIPAL | 5099521 |
Red Flags
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