Lai Zhang
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.
Lai Zhang, who also goes by James Zhang, was a registered financial professional .
Lai is a previously registered financial professional and started their career in finance in 2014. Lai had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2023 - July 8, 2024
WEBULL FINANCIAL LLC
October 19, 2018 - February 3, 2022
CHARLES SCHWAB & CO., INC.
October 19, 2018 - February 3, 2022
CHARLES SCHWAB & CO., INC.
August 14, 2017 - October 10, 2018
CITIGROUP GLOBAL MARKETS INC.
August 14, 2017 - October 10, 2018
CITIGROUP GLOBAL MARKETS INC.
August 15, 2015 - August 2, 2017
J.P. MORGAN SECURITIES LLC
August 15, 2015 - August 2, 2017
J.P. MORGAN SECURITIES LLC
September 5, 2014 - June 18, 2015
EDWARD JONES
August 12, 2014 - June 18, 2015
EDWARD JONES
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
WEBULL FINANCIAL LLC
CRD#: 289063 / SEC#: , 8-69978
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
