Yanto Muliadi
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.
Yanto Muliadi, who also goes by Chen Muliadi, was a registered financial professional .
Yanto is a previously registered financial professional and started their career in finance in 2007. Yanto had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 3, Series 48, Series 44, 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
September 8, 2020 - August 24, 2021
CTC, LLC
March 21, 2018 - November 1, 2018
WEILD & CO.
August 24, 2012 - March 19, 2018
QUANTLAB SECURITIES LP
August 15, 2011 - April 16, 2012
MORGAN STANLEY & CO. LLC
June 6, 2007 - June 6, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 48
Date: 10/17/2011
AMEX Market Maker ExamSeries 44
Date: 10/3/2011
PCX Market Maker ExamSeries 55
Date: 9/6/2011
Limited Representative-Equity Trader ExamCurrent Firm
CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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