Sophie S. Zhang
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.
Sophie Shaohui Zhang, who also goes by Shao Hui Zhang, Shao Hui Zhang, Sophie S Zhang, Sophie S. Zhang, Sophie Shaohui Zhang, Sophie Zhang, was a registered financial professional .
Sophie is a previously registered financial professional and started their career in finance in 2011. Sophie had worked at 9 firms and has passed the Series 66, 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
September 6, 2018 - August 29, 2019
TD AMERITRADE, INC.
September 6, 2018 - August 29, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 6, 2018 - August 29, 2019
TD AMERITRADE, INC.
June 13, 2017 - July 14, 2017
MUTUAL OF AMERICA SECURITIES LLC
June 13, 2017 - July 14, 2017
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
February 28, 2015 - February 14, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 6, 2015 - February 14, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 28, 2013 - July 9, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 27, 2013 - July 9, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 2012 - February 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2012 - February 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2011 - November 15, 2012
WADDELL & REED
April 25, 2011 - November 15, 2012
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
