Raymond M. Lin
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.
Raymond Ming Lin, who also goes by Ming Lin, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2000. Raymond had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2014 - April 27, 2015
WORLD-XECUTION STRATEGIES
April 16, 2014 - March 18, 2015
CLEARPOOL EXECUTION SERVICES, LLC
September 22, 2010 - March 27, 2014
MORGAN STANLEY
August 6, 2007 - November 24, 2008
AXES, LLC
August 22, 2005 - August 2, 2007
CITIGROUP GLOBAL MARKETS INC.
December 12, 2000 - July 26, 2004
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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: 2/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
WORLD-XECUTION STRATEGIES
CRD#: 134645 / SEC#: , 8-66854
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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