Tao 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.
Tao Zhang, who also goes by Lisa Zhang, Tao L Zhang, Tao L Zhange, was a registered financial professional .
Tao is a previously registered financial professional and started their career in finance in 2006. Tao had worked at 4 firms and has passed the Series 66 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 13, 2012 - June 8, 2012
CERTUSSECURITIES, INC.
November 5, 2009 - December 21, 2009
FIRST LEGACY SECURITIES, LLC
October 28, 2008 - December 21, 2009
FIRST LEGACY SECURITIES, LLC
November 7, 2007 - July 24, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 31, 2007 - July 24, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 31, 2007 - March 14, 2007
AMERIPRISE ADVISOR SERVICES, INC.
October 17, 2006 - March 14, 2007
AMERIPRISE ADVISOR SERVICES, 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
CERTUSSECURITIES, INC.
CRD#: 144051 / SEC#: , 8-67627
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.
