Ching-yi Lin
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.
Ching-yi Lin was a registered financial professional .
Ching-yi is a previously registered financial professional and started their career in finance in 2006. Ching-yi had worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 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 16, 2015 - November 3, 2015
H.C.WAINWRIGHT & CO., LLC
August 19, 2014 - December 26, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 23, 2009 - June 11, 2010
JESUP & LAMONT SECURITIES CORP
April 9, 2007 - March 28, 2008
CREDIT SUISSE SECURITIES (USA) LLC
October 25, 2006 - April 5, 2007
WELLS FARGO SECURITIES, 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
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
