Virginia Duan
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.
Virginia Duan, who also goes by VIrginia Ye-shren Duan, was a registered financial professional .
Virginia is a previously registered financial professional and started their career in finance in 2004. Virginia had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - March 27, 2020
PURSHE KAPLAN STERLING INVESTMENTS
November 15, 2012 - March 12, 2020
NEW SPRING FINANCIAL PLANNING, LLC
September 8, 2009 - December 18, 2009
LPL FINANCIAL LLC
September 8, 2009 - December 31, 2012
LPL FINANCIAL LLC
April 1, 2009 - January 7, 2013
STRATEGIC WEALTH ADVISORS GROUP
March 3, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
February 27, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
January 22, 2009 - February 9, 2009
ASSOCIATED SECURITIES CORP.
January 21, 2009 - February 9, 2009
ASSOCIATED SECURITIES CORP.
October 21, 2004 - March 20, 2009
CITIGROUP GLOBAL MARKETS INC.
September 20, 2004 - March 20, 2009
CITIGROUP GLOBAL MARKETS 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
