Qiao 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.
Qiao Wang, who also goes by Ciao Wang, was a registered financial professional .
Qiao is a previously registered financial professional and started their career in finance in 2013. Qiao had worked at 2 firms and has passed the SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2017 - May 3, 2018
LATOUR TRADING LLC
November 5, 2013 - February 11, 2016
IMC FINANCIAL MARKETS
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 56
Date: 11/4/2013
Proprietary Trader Qualification ExaminationCurrent Firm
LATOUR TRADING LLC
CRD#: 150887 / SEC#: , 8-68304
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| FAUCON, DAVID | PRINCIPAL EXECUTIVE OFFICER | 5062876 |
| BOUVET, GUILLAUME ADRIEN MR | CHIEF OPERATING OFFICER | 5588427 |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | FINOP/PRINCIPAL OPERATING OFFICER | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| THIEBAULT, SEBASTIEN | CHIEF EXECUTIVE OFFICER | 4870286 |
Disclosures
| Regulatory Event | 4 |
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.
