Cathleen C. Hu-zollei
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.
Cathleen Chiafang Hu-zollei, who also goes by Cathleen Chiafang Hu, Cathleen Hu, Cathleen Hu-zollei, was a registered financial professional .
Cathleen is a previously registered financial professional and started their career in finance in 2019. Cathleen had worked at 1 firm and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2019 - November 17, 2021
FLOURISH FINANCIAL LLC
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 99TO
Date: 9/27/2019
Operations Professional ExaminationCurrent Firm
FLOURISH FINANCIAL LLC
CRD#: 293019 / SEC#: , 8-70093
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLOURISH HOLDING COMPANY LLC | SOLE MEMBER | |
| CRUIKSHANK, BENJAMIN EVERETT | PRESIDENT | 5682701 |
| LANE, MAXWELL KEITH | CHIEF EXECUTIVE OFFICER | 6111790 |
| MURRAY, KATE | CHIEF COMPLIANCE OFFICER, COUNSEL, SECRETARY | 4958654 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 4364402 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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