Zhuo Zheng
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.
Zhuo Zheng, who also goes by Joe Zheng, was a registered financial professional .
Zhuo is a previously registered financial professional and started their career in finance in 2008. Zhuo had worked at 3 firms and has passed the Series 63, SIE 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
November 7, 2013 - June 3, 2016
SIGULER GUFF GLOBAL MARKETS, LLC
July 30, 2009 - November 29, 2011
HSBC SECURITIES (USA) INC.
October 21, 2008 - February 6, 2009
STANFORD GROUP COMPANY
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
SIGULER GUFF GLOBAL MARKETS, LLC
CRD#: 159534 / SEC#: , 8-68996
Contact information
FINRA licenses (52 States and Territories)
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.
