Chuanqi Miao
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.
Chuanqi Miao, who also goes by Miao Chuangi, Chuck Miao, was a registered financial professional .
Chuanqi is a previously registered financial professional and started their career in finance in 2001. Chuanqi had worked at 5 firms and has passed the Series 65, Series 63 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 2, 2003 - May 22, 2014
VISION BROKERAGE SERVICES, LLC
April 11, 2002 - November 18, 2002
EQUITABLE ADVISORS, LLC
February 14, 2002 - March 13, 2002
NYLIFE SECURITIES LLC
January 28, 2002 - November 18, 2002
EQUITABLE ADVISORS, LLC
November 8, 2001 - November 14, 2001
GROVE POINT INVESTMENTS, LLC
May 9, 2001 - November 6, 2001
GLOBALINK 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
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
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.
