Ziyu Wang
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.
Ziyu Wang was a registered financial professional .
Ziyu is a previously registered financial professional and started their career in finance in 2012. Ziyu had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2019 - November 20, 2020
WEALTHFRONT BROKERAGE LLC
September 24, 2012 - July 15, 2014
J.P. MORGAN SECURITIES 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 7TO
Date: 6/11/2019
General Securities Representative ExaminationCurrent Firm
WEALTHFRONT BROKERAGE LLC
CRD#: 153407 / SEC#: , 8-68534
Contact information
FINRA licenses (53 States and Territories)
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.
