Gang Xu
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.
Gang Xu, who also goes by Richard Xu, was a registered financial professional .
Gang is a previously registered financial professional and started their career in finance in 2002. Gang had worked at 3 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - March 15, 2013
FOREFRONT CAPITAL MARKETS LLC
April 28, 2004 - September 15, 2006
SWISS AMERICAN SECURITIES INC.
August 12, 2002 - March 18, 2004
SCHONFELD SECURITIES, LLC
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: 9/8/2003
Limited Representative-Equity Trader ExamCurrent Firm
FOREFRONT CAPITAL MARKETS LLC
CRD#: 151812 / SEC#: 801-80131, 8-68402
Contact information
Disclosures
| Regulatory Event | 1 |
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.
