Xiuming Jin

ETHOS PRIVATE WEALTH | Financial Advisor

CHATTANOOGA, TN

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CRD#: 6089403

Professional summary

Xiuming Jin, who also goes by XIuming Jin, is a registered financial advisor currently at ETHOS PRIVATE WEALTH located in Chattanooga, Tennessee.

Xiuming is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Xiuming has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Xiuming Jin

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xiuming Jin's CRS (Customer Relationship Summary).

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

Current

November 4, 2024 - Present

ETHOS PRIVATE WEALTH

RIA

CRD#: 166465

CHATTANOOGA, TN

Past

July 27, 2017 - June 24, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHATTANOOGA, TN

Past

June 21, 2017 - June 24, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHATTANOOGA, TN

Past

November 14, 2016 - January 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LOS ANGELES, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/25/2024)

IAR

Tennessee
(11/4/2024)

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

IAR

Series 66

Date: 7/24/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2016

General Securities Representative Examination

Current Firm

ETHOS PRIVATE WEALTH

CRD#: 166465 / SEC#: 801-77626

RIA

Registered Investment Advisory firm - (3/28/2018 Terminated)

Alabama

Registered Investment Advisory firm - (11/3/2022 Approved)

Florida

Registered Investment Advisory firm - (3/16/2018 Approved)

Georgia

Registered Investment Advisory firm - (10/14/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/3/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/26/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Coral Gables, FL

Mailing Address

Phone number

(305) 602-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 47,490,929

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Xiuming Jin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xiuming Jin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETHOS PRIVATE WEALTH

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 7/24/2017

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2016

Current Firm

ETHOS PRIVATE WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ETHOS PRIVATE WEALTH

TRUST BUT VERIFY

Contact information

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