Charles Y. Zhu
Professional summary
Charles Yue-wen Zhu, who also goes by Charles Zhu, is a registered financial professional currently at LIFESCI CAPITAL located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2018. Charles has worked at 2 firms and has passed the Series 63, Series 87, Series 86, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Yue-wen Zhu's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2024 - Present
LIFESCI CAPITAL
Office #1: 1700 Broadway 40th Floor, New York, NY 10019August 20, 2018 - January 8, 2024
GUGGENHEIM SECURITIES, 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
(6/10/2024)
(6/10/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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