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JW

Jeannie Wang

NFSTX
New York, NY 10036
Some features on this profile are disabled
CRD#: 5311972
JW

Professional summary

Jeannie Wang, who also goes by Jeannie Han, is a registered financial professional currently at NFSTX, LLC located in New York, New York.

Jeannie is registered as a RR (Registered Representative) and started their career in finance in 2022. Jeannie has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeannie Han

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeannie Wang's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 13, 2022 - Present

NFSTX, LLC

Office #1: 4 Times Square 27th Floor, New York, NY 10036
BD
CRD#: 172583
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/23/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/5/2022
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NL
NFSTX, LLC
NFSTX, LLC | SMTX, LLC

CRD#: 172583 / SEC#: , 8-69512

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
4 Times Square 27th Floor, New York, NY 10036
Mailing Address
151 West 42 Street 27th Floor, New York, NY 10036
Phone number
(212) 381-6440
Established
Delaware since 07/23/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ FUND SECONDARIES, LLC100% OWNER OF NFSTX, LLC
CRANE, LINDA SALIERNOPRINCIPAL FINANCIAL OFFICER4374198
JOHNSON, LISA PATTONCHIEF COMPLIANCE OFFICER4168397
MABIN, RORY ALISONCEO5141036

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.

Company Information

NFSTX, LLC

CRD#: 172583New York, NY 10036

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