Ying Ying Jing

OCEANIQ CAPITAL

Redwood City, CA 94065

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CRD#: 4626484

Professional summary

Ying Ying Jing, who also goes by Lucy Jing, Ying Ying Jing, Jing Ying Ying, is a registered financial advisor currently at OCEANIQ CAPITAL, LLC located in Redwood City, California.

Ying Ying is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Ying Ying has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lucy Jing | Ying Ying Jing | Jing Ying Ying

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ying Ying Jing's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 8, 2020 - Present

OCEANIQ CAPITAL, LLC

Office #1: 275 Shoreline Drive Unit 120, Redwood City, CA 94065

RIA

CRD#: 168062

Redwood City, CA

Past

January 28, 2014 - December 31, 2018

OCEANIQ CAPITAL, LLC

RIA

CRD#: 168062

Redwood Shores, CA

Past

January 28, 2014 - July 2, 2015

S F SENTRY SECURITIES, INC.

CRD#: 27432

SAN FRANCISCO, CA

Past

August 2, 2012 - December 31, 2013

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

August 2, 2012 - December 31, 2013

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

December 23, 2009 - July 31, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MENLO PARK, CA

Past

October 23, 2009 - July 31, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MENLO PARK, CA

Past

June 11, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PALO ALTO, CA

Past

October 20, 2008 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

FREMONT, CA

Past

April 24, 2003 - September 10, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OCEANIQ CAPITAL, LLC

OCEANIQ CAPITAL, LLC | TACTICAL ADVISOR 6, LLC

CRD#: 168062 / SEC#: 801-113911

RIA

Registered Investment Advisory firm - (8/29/2018 Approved)

California

Registered Investment Advisory firm - (1/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2018 Failure to Renew)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/8/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/2003

General Securities Representative Examination

Current Firm

OCEANIQ CAPITAL, LLC

OCEANIQ CAPITAL, LLC | TACTICAL ADVISOR 6, LLC

CRD#: 168062 / SEC#: 801-113911

RIA

Registered Investment Advisory firm - (8/29/2018 Approved)

California

Registered Investment Advisory firm - (1/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2018 Failure to Renew)

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Contact information

Main Address

275 Shoreline Drive Unit 120, Redwood City, CA 94065

Mailing Address

Phone number

(415) 432-7580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 212,427,410

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.

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Firm Stability Insights

Ying Ying Jing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ying Ying Jing's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCEANIQ CAPITAL, LLC

S F SENTRY SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

OCEANIQ CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2009

Series 63

Date: 6/23/2003

SIE

Date: 7/2/2015

Series 7

Date: 4/21/2003

Current Firm

OCEANIQ CAPITAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCEANIQ CAPITAL, LLC

TRUST BUT VERIFY

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