Xintao Luo
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.
Xintao Luo was a registered financial professional .
Xintao is a previously registered financial professional and started their career in finance in 2018. Xintao had worked at 2 firms and has passed the Series 63, SIE, Series 99, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2021 - July 29, 2022
HAITONG INTERNATIONAL SECURITIES (USA) INC.
February 11, 2021 - July 29, 2022
HAITONG SECURITIES USA LLC
March 21, 2018 - February 7, 2021
HAITONG INTERNATIONAL SECURITIES (USA) INC.
January 31, 2018 - March 6, 2018
HAITONG SECURITIES USA LLC
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
HAITONG INTERNATIONAL SECURITIES (USA) INC.
CRD#: 132201 / SEC#: , 8-66566
Contact information
FINRA licenses (25 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| BASILOTTA, SILVIA GRACIELA | FINANCIAL OPERATIONS PRINCIPAL | 1201948 |
| CHOU, CHUK NAM | BOARD OF DIRECTORS MEMBER | 7755974 |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER | 1554301 |
| SHI, PING | BOARD OF DIRECTORS MEMBER | 7030173 |
| WU, YAN | DEPUTY CEO, BOARD OF DIRECTORS MEMBER | 3120765 |
| YE, WEILU | CEO, BOARD OF DIRECTORS MEMBER | 7205185 |
Disclosures
| Regulatory Event | 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.
