Yali Miao
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.
Yali Miao was a registered financial professional .
Yali is a previously registered financial professional and started their career in finance in 2009. Yali had worked at 4 firms and has passed the SIE, Series 55 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
February 3, 2014 - June 11, 2020
RONIN CAPITAL, LLC
September 1, 2009 - January 21, 2010
JANE STREET TRADING, LLC
September 1, 2009 - January 3, 2013
JANE STREET MARKETS, LLC
July 23, 2009 - January 3, 2013
JANE STREET CAPITAL, 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
Series 55
Date: 9/16/2009
Limited Representative-Equity Trader ExamCurrent Firm
RONIN CAPITAL, LLC
CRD#: 118428 / SEC#: , 8-53655
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZEN HOLDINGS, LLC | MEMBER | |
| FAIRWAY TRADING, LLC | MEMBER | |
| STAFFORD, JOHN SPRINGS III | CHIEF EXECUTIVE OFFICER | 2366359 |
| ANSATZ HOLDINGS LLC | MEMBER | |
| BURDA, AGNIESZKA | CHIEF COMPLIANCE OFFICER | 4832368 |
| CHERVITZ, KERI S | COMPLIANCE MANAGER | 2875647 |
| DAI, ERIC | CHIEF OPERATING OFFICER | 5880944 |
| GALIN, JONATHAN BRETT | CHIEF RISK OFFICER | 1597276 |
| HUERTA, KELLY JO | FINANCIAL AND OPERATION PRINCIPAL | 4889908 |
| POOLER, ROBERT EDWARD JR | CHIEF FINANCIAL OFFICER | 2817263 |
| WOLO CAPITAL, LLC | MEMBER |
Disclosures
| Regulatory Event | 26 |
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.
