Grace Ling
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.
Grace Ling was a registered financial professional .
Grace is a previously registered financial professional and started their career in finance in 2010. Grace had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2014 - April 10, 2019
WEALTHFRONT BROKERAGE LLC
August 23, 2010 - April 19, 2013
BNP PARIBAS SECURITIES CORP.
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
WEALTHFRONT BROKERAGE LLC
CRD#: 153407 / SEC#: , 8-68534
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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