Xinhua Mao
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.
Xinhua Mao was a registered financial professional .
Xinhua is a previously registered financial professional and started their career in finance in 2015. Xinhua had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 30, 2020 - July 19, 2022
WORLD INVESTMENTS, LLC
November 24, 2020 - July 19, 2022
WORLD INVESTMENTS, LLC
October 22, 2019 - June 19, 2020
PRUCO SECURITIES, LLC.
October 16, 2019 - June 19, 2020
PRUCO SECURITIES, LLC.
April 2, 2018 - September 4, 2019
EQUITABLE ADVISORS, LLC
January 31, 2018 - September 4, 2019
EQUITABLE ADVISORS, LLC
December 18, 2015 - December 8, 2017
PFS INVESTMENTS INC.
August 24, 2015 - December 8, 2017
PFS INVESTMENTS INC.
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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 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.
