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DW

Doris Wan

ICE BONDS SECURITIES
NEW YORK, NY 10105
Some features on this profile are disabled
CRD#: 6180125
DW

Professional summary

Doris Wan is a registered financial professional currently at ICE BONDS SECURITIES CORPORATION located in New York, New York and ICE SECURITIES EXECUTION & CLEARING, LLC located in New York, New York.

Doris is registered as a RR (Registered Representative) and started their career in finance in 2020. Doris has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Doris Wan'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

May 13, 2014 - Present

ICE BONDS SECURITIES CORPORATION

Office #1: 1345 Avenue Of The Americas 8th Floor, New York, NY 10105
BD
CRD#: 123635
NEW YORK, NY
Current

June 17, 2019 - Present

ICE SECURITIES EXECUTION & CLEARING, LLC

Office #1: 1345 6th Avenue 8th Floor, New York, NY 10105
BD
CRD#: 299634
NEW YORK, NY
Past

March 27, 2020 - June 3, 2020

TMC BONDS L.L.C.

BD
CRD#: 104507
New York, NY

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/13/2014
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

IS
ICE SECURITIES EXECUTION & CLEARING, LLC
ICE SECURITIES EXECUTION & CLEARING, LLC | ICE SECURITIES EXECUTION AND CLEARING, LLC

CRD#: 299634 / SEC#: , 8-70258

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1345 6th Avenue 8th Floor, New York, NY 10105
Mailing Address
1345 6th Avenue 6th Floor, New York, NY 10105
Phone number
(914) 313-4250
Established
Delaware since 10/04/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICE ETF HUB, LLCSHAREHOLDER
MCKISSICK, JOHN JOSEPHPRESIDENT AND PRINCIPAL OPERATIONS OFFICER4939416
MESSINA, MATTHEW ANTHONYCHIEF COMPLIANCE OFFICER6082432
THOMASSON, SEAN JOSEPHPRINCIPAL FINANCIAL OFFICER/FINOP5124423

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.

Company Information

ICE SECURITIES EXECUTION & CLEARING, LLC

CRD#: 299634New York, NY 10105

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