Qiu Yi Zhi
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.
Qiu Yi Zhi, who also goes by Cherry Zhi, Qiu Yi Zhi, was a registered financial professional .
Qiu Yi is a previously registered financial professional and started their career in finance in 2019. Qiu Yi had worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2021 - November 30, 2022
ARES MANAGEMENT CAPITAL MARKETS LLC
September 16, 2019 - July 7, 2021
RBC CAPITAL MARKETS, 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
Series 79TO
Date: 12/16/2019
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 9/16/2019
General Securities Representative ExaminationCurrent Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 States and Territories)
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.
