Yunshu Ling
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.
Yunshu Ling, who also goes by Ariel Ling, Yunshu Ariel Ling, was a registered financial professional .
Yunshu is a previously registered financial professional and started their career in finance in 2012. Yunshu had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, 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
February 5, 2020 - April 22, 2021
GDM ADVISORY LLC
December 10, 2014 - August 6, 2018
DEUTSCHE BANK SECURITIES INC.
June 25, 2012 - October 31, 2014
COMMERZ MARKETS LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationCurrent Firm
GDM ADVISORY LLC
CRD#: 300154 / SEC#: , 8-70285
Contact information
Documents
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.
