Benjamin M. Zhao
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.
Benjamin Ming Zhao, who also goes by Ming None Xu, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2006. Benjamin had worked at 5 firms and has passed the SIE, Series 57, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2018 - October 11, 2018
TD ARRANGED SERVICES LLC
March 18, 2009 - October 11, 2018
COWEN EXECUTION SERVICES LLC
August 18, 2008 - December 22, 2008
VDM CAPITAL MARKETS, LLC
November 9, 2007 - August 18, 2008
VDM TRADING, LLC
June 21, 2006 - July 2, 2007
VIRTU ITG 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
Current Firm
TD ARRANGED SERVICES LLC
CRD#: 122529 / SEC#: , 8-65509
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN STRUCTURED HOLDINGS INC. | DIRECT PARENT | |
| BOWEN-FARSEWICZ, MELISSA | FINOP AND PRINCIPAL FINANCIAL OFFICER | 6022667 |
| CHARNEY, DANIEL S | CHIEF EXECUTIVE OFFICER | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 13 |
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.
