Qian Wan
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.
Qian Wan, who also goes by Ken Wan, was a registered financial professional .
Qian is a previously registered financial professional and started their career in finance in 2006. Qian had worked at 3 firms and has passed the Series 63, Series 55 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
December 20, 2010 - September 14, 2012
GETCO EXECUTION SERVICES LLC
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
September 6, 2006 - September 22, 2008
LEHMAN BROTHERS 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
Series 55
Date: 1/25/2011
Limited Representative-Equity Trader ExamCurrent Firm
GETCO EXECUTION SERVICES LLC
CRD#: 145021 / SEC#: , 8-67694
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
