Yan Zhang
Professional summary
Yan Zhang, CFP® is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in San Gabriel, California.
Yan is registered as a RR (Registered Representative) and started their career in finance in 2019. Yan has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yan Zhang's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
August 22, 2022 - Present
ACE DIVERSIFIED CAPITAL, INC.
Office #1: 923 East Valley Blvd., Suite 213, San Gabriel, CA 91776September 24, 2019 - August 31, 2022
GLOBALINK SECURITIES, INC.
August 15, 2019 - July 22, 2022
TRANSGLOBAL ADVISORY, 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
(8/22/2022)
Exams
Series 7TO
Date: 9/24/2019
General Securities Representative ExaminationFINRA
Current Firm
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
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
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768San Gabriel, CA 91776TRUST BUT VERIFY
Monitor Yan Zhang
Get automatic monthly alerts on:
