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AZ

Amy T. Zhang

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CRD#: 6932685
AZ

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.

Amy T Zhang, who also goes by Amy Zhang, was a registered financial professional .

Amy is a previously registered financial professional and started their career in finance in 2018. Amy had worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Zhang

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2018 - June 18, 2019

TRIVE NEW YORK LLC

BD
CRD#: 21946
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/21/2018
Operations Professional Examination

Current Firm

TN
TRIVE NEW YORK LLC
BORNHOFT GROUP SECURITIES CORPORATION | TRIVE NEW YORK LLC | HART-BORNHOFT SECURITIES, INC. | GK TRADE NY LLC | GK TRADE NEW YORK LLC | EQUINOX GROUP DISTRIBUTORS, LLC

CRD#: 21946 / SEC#: , 8-39420

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

Main Address
85 Broad Street Suite 17-105, New York, NY 10004-2434
Mailing Address
85 Broad Street Suite 17-105, New York, NY 10004-2434
Phone number
(929) 508-1500
Established
Delaware since 01/04/2012
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRIVE INVESTMENT B.V.OWNER
ATTANASIO, ELIZABETH MARIEPRINCIPAL FINANCIAL AND OPERATIONS OFFICER5325007
SAA, JOSE FRANCISCOEXECUTIVE BOARD OF DIRECTOR1677154
SAA, JOSE FRANCISCOCHIEF EXECUTIVE OFFICER1677154
SAA, JOSE FRANCISCOCHIEF COMPLIANCE OFFICER1677154

Disclosures

Regulatory Event1

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

TRIVE NEW YORK LLC

CRD#: 21946

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