Peng Peng
Professional summary
Peng Peng, who also goes by Chinese Name, Judy Peng, is a registered financial professional currently at NI ADVISORS located in Milpitas, California.
Peng is registered as a RR (Registered Representative) and started their career in finance in 2016. Peng has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peng Peng's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2023 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035October 19, 2021 - May 30, 2023
EQUITABLE ADVISORS, LLC
February 29, 2016 - September 6, 2016
MSI FINANCIAL SERVICES, 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
(6/3/2023)
(12/16/2024)
Exams
Series 7TO
Date: 10/19/2021
General Securities Representative ExaminationFINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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