Calian Y. Huang
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.
Calian Y Huang, who also goes by Calian Huang, was a registered financial professional .
Calian is a previously registered financial professional and started their career in finance in 2011. Calian had worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2021 - August 25, 2025
PERSHING LLC
June 13, 2018 - July 28, 2020
TD AMERITRADE, INC.
June 12, 2018 - November 1, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 8, 2018 - July 28, 2020
TD AMERITRADE, INC.
March 25, 2017 - December 31, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - May 21, 2018
MML INVESTORS SERVICES, LLC
May 12, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 10, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 25, 2013 - May 6, 2016
HSBC SECURITIES (USA) INC.
October 24, 2013 - May 6, 2016
HSBC SECURITIES (USA) INC.
July 8, 2013 - October 11, 2013
CETERA INVESTMENT SERVICES LLC
July 2, 2013 - October 11, 2013
CETERA INVESTMENT SERVICES LLC
February 16, 2011 - March 20, 2013
JOHN THOMAS FINANCIAL
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 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
