Yanchu Zhao
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.
Yanchu Zhao, who also goes by Aki Zhao, was a registered financial professional .
Yanchu is a previously registered financial professional and started their career in finance in 2018. Yanchu had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2019 - October 1, 2020
UNFCU ADVISORS LLC
March 29, 2019 - October 8, 2020
COPPER FINANCIAL
March 19, 2018 - March 26, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2018 - March 26, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UNFCU ADVISORS LLC
CRD#: 136572 / SEC#: 801-67069
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
UNFCU ADVISORS LLC
CRD#: 136572 / SEC#: 801-67069
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 31,768,224 |
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.
