Mio Harimoto
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.
Mio Harimoto, CFA, who also goes by Sakura Zhang, Yinying Zhang, was a registered financial professional .
Mio is a previously registered financial professional and started their career in finance in 2011. Mio had worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2020 - December 17, 2021
UPMARKET SECURITIES LLC
December 3, 2016 - May 15, 2018
CVCAPITAL SECURITIES, LLC
January 28, 2016 - April 12, 2016
INDEPENDENT BROKERAGE SOLUTIONS LLC
October 3, 2013 - December 9, 2014
MARLIN & ASSOCIATES SECURITIES LLC
December 12, 2011 - September 17, 2013
EUROCONSULT CAPITAL, LLC
State Registrations and Notice Filings
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Exams
Current Firm
UPMARKET SECURITIES LLC
CRD#: 295634 / SEC#: , 8-70120
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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