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XZ

Xianbin Zhao

TRADEUP SECURITIES
San Jose, CA 95134
Some features on this profile are disabled
CRD#: 6857842
XZ

Professional summary

Xianbin Zhao, who also goes by Peter Zhao, is a registered financial professional currently at TRADEUP SECURITIES, INC. located in San Jose, California.

Xianbin is registered as a RR (Registered Representative) and started their career in finance in 2020. Xianbin has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter Zhao

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 Xianbin Zhao's CRS (Customer Relationship Summary).
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

February 24, 2025 - Present

TRADEUP SECURITIES, INC.

Office #1: 160 E Tasman Dr Suite 200-13, San Jose, CA 95134
BD
CRD#: 18483
San Jose, CA
Past

April 4, 2024 - February 4, 2025

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

November 19, 2020 - April 2, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
San Francisco, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/24/2025)
RR
New York
(2/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/19/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TRADEUP SECURITIES, INC.
MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: , 8-36754

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

Main Address
437 Madison Ave 27th Floor, New York, NY 10022
Mailing Address
437 Madison Ave 27th Floor, New York, NY 10022
Phone number
(973) 228-2886
Established
New Jersey since 09/03/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TIGER FINTECH HOLDINGS INC.DOMESTIC ENTITY
COHEN, MICHAEL LINDSEYAMLCO2246010
HUANG, LEIBOARD OF DIRECTOR5248191
HUANG, LEICEO5248191
LIANG, CEHEAD OF FINANCE/ PFO7554601
LIU, YOUQINGFINOP/POO/CFO5893930
LUPO, VINCENT JR.CHIEF OPERATIONS OFFICER1478037
YE, GUANWUCCO5985247

Disclosures

Regulatory Event4

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

TRADEUP SECURITIES, INC.

CRD#: 18483San Jose, CA 95134

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