Tony Y. Zheng
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.
Tony Yu Feng Zheng, who also goes by Yu Feng Zheng, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 2002. Tony had worked at 8 firms and has passed the Series 66, Series 63, SIE, 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
September 3, 2013 - December 22, 2015
TD AMERITRADE, INC.
September 3, 2013 - December 22, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 3, 2013 - December 22, 2015
TD AMERITRADE, INC.
June 3, 2013 - August 21, 2013
BANCWEST INVESTMENT SERVICES, INC.
June 3, 2013 - August 21, 2013
BANCWEST INVESTMENT SERVICES, INC.
June 22, 2007 - June 3, 2013
T. ROWE PRICE ADVISORY SERVICES, INC.
May 21, 2007 - June 3, 2013
T. ROWE PRICE INVESTMENT SERVICES, INC.
December 9, 2005 - March 9, 2007
FIFTH THIRD SECURITIES, INC.
July 11, 2003 - July 13, 2005
ATLAS SECURITIES, LLC
July 1, 2002 - November 20, 2002
WORLD GROUP 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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