Shiwei Zhou
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.
Shiwei Zhou was a registered financial professional .
Shiwei is a previously registered financial professional and started their career in finance in 2006. Shiwei had worked at 2 firms and has passed the Series 66, SIE, Series 87, Series 86 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
August 4, 2009 - September 25, 2015
MANNING & NAPIER INVESTOR SERVICES, INC.
October 26, 2006 - January 6, 2009
GREEN STREET TRADING, 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
MANNING & NAPIER INVESTOR SERVICES, INC.
CRD#: 26266 / SEC#: , 8-42468
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANNING & NAPIER GROUP, LLC | OWNER | |
| CRAIG, ELIZABETH KIM | DIRECTOR | 5726029 |
| CRAIG, ELIZABETH KIM | CORPORATE SECRETARY | 5726029 |
| LAREW, SAMANTHA MARIE | CHIEF COMPLIANCE OFFICER | 4928353 |
| LINDENMUTH, VALERIE MAY | DIRECTOR | 4572179 |
| MORABITO, SCOTT JAMES | PRESIDENT/ DIRECTOR | 6838712 |
| MORABITO, SCOTT JAMES | PRINCIPAL OPERATIONS OFFICER | 6838712 |
| SERRA, CARL ANTHONY III | PRINCIPAL FINANCIAL OFFICER | 3179039 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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