Rui Dong
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.
Rui Dong was a registered financial professional .
Rui is a previously registered financial professional and started their career in finance in 2011. Rui had worked at 3 firms and has passed the Series 63, Series 7TO, Series 57TO, 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
July 31, 2025 - October 7, 2025
ELEQUIN SECURITIES LLC
April 30, 2018 - April 11, 2022
GOLDMAN SACHS & CO. LLC
January 8, 2018 - March 20, 2018
RBC CAPITAL MARKETS, LLC
March 29, 2011 - January 30, 2018
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 7/31/2025
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
ELEQUIN SECURITIES LLC
CRD#: 311650 / SEC#: , 8-70654
Contact information
Documents
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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