Chao Wang
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.
Chao Wang, who also goes by Cindy Wang, was a registered financial professional .
Chao is a previously registered financial professional and started their career in finance in 2007. Chao had worked at 5 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
February 22, 2011 - August 25, 2015
TERRANOVA CAPITAL EQUITIES, INC
October 28, 2010 - January 19, 2011
WOODSIDE CAPITAL SECURITIES LLC
April 30, 2010 - October 29, 2010
WAVEEDGE PARTNERS LLC
December 11, 2007 - May 7, 2008
THINKEQUITY LLC
February 28, 2007 - December 11, 2007
W.R. HAMBRECHT + CO., 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
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
