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RJ

Ruozhou Jia

Some features on this profile are disabled
CRD#: 5404347
RJ

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.

Ruozhou Jia was a registered financial professional .

Ruozhou is a previously registered financial professional and started their career in finance in 2010. Ruozhou had worked at 2 firms and has passed the SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 20, 2015 - February 18, 2015

TRC MARKETS LLC

BD
CRD#: 171272
MOUNT PLEASANT, SC
Past

January 27, 2010 - August 9, 2011

HRT FINANCIAL LP

BD
CRD#: 152144
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
SIE
Date: 2/18/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/8/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/25/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/2014
General Securities Principal Examination

Current Firm

TM
TRC MARKETS LLC
TRC MARKETS LLC

CRD#: 171272 / SEC#: , 8-69454

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

Main Address
111 Coleman Blvd Suite 404, Mount Pleasant, SC 29464
Mailing Address
111 Coleman Blvd Suite 404, Mount Pleasant, SC 29464
Phone number
(843) 352-8000
Established
Delaware since 12/18/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TOWER RESEARCH CAPITAL LLCMEMBER
CONCANNON, SEAN PATRICKPRINCIPAL FINANCIAL OFFICER5364102
ELLMAN, MICHAEL GREGPRINCIPAL OPERATIONS OFFICER & FINOP5574667
MESTER, THOMAS BRENNERCHIEF COMPLIANCE OFFICER2350593
SHEDID, MARWA MAHMOUDCHIEF OPERATING OFFICER5470002
WILSON, KENNETH NIXONCEO3014927

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

TRC MARKETS LLC

CRD#: 171272

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