Liwen Zhang
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.
Liwen Zhang, who also goes by Li Wen Zhang Ms., Li Wen Zhang, was a registered financial professional .
Liwen is a previously registered financial professional and started their career in finance in 2004. Liwen had worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86 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
August 8, 2012 - September 16, 2015
BLAYLOCK VAN, LLC
March 30, 2006 - June 1, 2012
PACIFIC CREST SECURITIES LLC
December 14, 2004 - February 2, 2006
W.R. HAMBRECHT + CO., 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
BLAYLOCK VAN, LLC
CRD#: 145317 / SEC#: 801-69136, 8-67721
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBERT VAN SECURITIES, INC | SOLE VOTING MEMBER | |
| BLAYLOCK & COMPANY, INC | NON-VOTING MEMBER | |
| CIULLA, ALEXANDER JOHN | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2635660 |
| HOUGH, JERVIS BENNETT | BD CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER | 4291302 |
| KALISPEL TRIBAL ECONOMIC AUTHORITY | NON-VOTING MEMBER | |
| SEAPORT GLOBAL SECURITIES LLC | SHAREHOLDER | 116270 |
| STANDIFER, ERIC VAN | MANAGER; CEO; GSP; MSP | 1025776 |
Disclosures
| Regulatory Event | 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.
