Tian Xing

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CRD#: 5932302

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.

Tian Xing was a registered financial professional .

Tian is a previously registered financial professional and started their career in finance in 2015. Tian had worked at 3 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ARIEL INVESTMENTS, LLC; (INVEST-RELATED); 200 E. RANDOLPH STREET, SUITE 2900, CHICAGO, IL 60601; 08/2022; INVEST ADVISOR FIRM; ~200 HOURS/MONTH; VICE PRESIDENT, INSTITUTIONAL MARKETING AND INVESTOR RELATIONS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 4, 2022 - July 23, 2024

ARIEL INVESTMENTS, LLC

RIA

CRD#: 108211

Ellicot City, MD

Past

August 30, 2022 - July 23, 2024

ARIEL DISTRIBUTORS, LLC

CRD#: 38333

CHICAGO, IL

Past

June 29, 2018 - August 12, 2022

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 13, 2015 - December 21, 2017

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARIEL INVESTMENTS, LLC

ARIEL CAPITAL MANAGEMENT INC | ARIEL INVESTMENTS, LLC | ARIEL CAPITAL MANAGEMENT, LLC | ARIEL CAPITAL MANAGEMENT, INC.

CRD#: 108211 / SEC#: 801-18767

RIA

Registered Investment Advisory firm - (4/15/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/27/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/5/2018

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 1/12/2022

NFA Branch Manager Examination

Current Firm

ARIEL INVESTMENTS, LLC

ARIEL CAPITAL MANAGEMENT INC | ARIEL INVESTMENTS, LLC | ARIEL CAPITAL MANAGEMENT, LLC | ARIEL CAPITAL MANAGEMENT, INC.

CRD#: 108211 / SEC#: 801-18767

RIA

Registered Investment Advisory firm - (4/15/1983 Approved)

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Contact information

Main Address

200 East Randolph Street Suite 2900, Chicago, IL 60601-6505

Mailing Address

Phone number

(312) 726-0140

Established

Firm type

Fiscal year end

# of Employees

120

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARIEL INVESTMENTS PART 2A BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 12,369,706,772

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.

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Advisor Monitoring

Firm Stability Insights

Tian Xing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARIEL DISTRIBUTORS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

ARIEL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2015

Series 3

Date: 11/5/2018

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2015

Series 30

Date: 1/12/2022

Current Firm

ARIEL INVESTMENTS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARIEL INVESTMENTS, LLC

TRUST BUT VERIFY

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