Freddie W. Qi
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.
Freddie Wei Qi, who also goes by Freddie W Qi, Freddie Qi, Wei Qi, was a registered financial professional .
Freddie is a previously registered financial professional and started their career in finance in 2015. Freddie had worked at 3 firms and has passed the Series 65, Series 63, Series 7, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2019 - July 22, 2020
EMERSON EQUITY LLC
April 8, 2019 - December 24, 2019
EQUITY SERVICES, INC.
March 2, 2018 - December 24, 2019
EQUITY SERVICES, INC.
February 9, 2015 - March 31, 2017
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
