Annie J. Xiong
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.
Annie Jingxuan Xiong, who also goes by Annie J XIang, Annie Jingxuan Xiang, was a registered financial professional .
Annie is a previously registered financial professional and started their career in finance in 2017. Annie had worked at 2 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2022 - September 6, 2023
EQUILIBRIUM VENTURES, LLC
April 8, 2017 - July 9, 2018
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
EQUILIBRIUM VENTURES, LLC
CRD#: 309164 / SEC#: 801-128525
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
Current Firm
EQUILIBRIUM VENTURES, LLC
CRD#: 309164 / SEC#: 801-128525
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 137,313,566 |
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.
