Yipeng Wang
Professional summary
Yipeng Wang, who also goes by Ricky Wang, is a registered financial professional currently at MOOMOO FINANCIAL INC. located in Jersey City, New Jersey.
Yipeng is registered as a RR (Registered Representative) and started their career in finance in 2019. Yipeng has worked at 1 firm and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yipeng Wang's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2021 - Present
MOOMOO FINANCIAL INC.
Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311December 13, 2019 - September 30, 2020
MOOMOO FINANCIAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2024)
Exams
Series 7TO
Date: 3/30/2021
General Securities Representative ExaminationSeries 99TO
Date: 12/13/2019
Operations Professional ExaminationFINRA
Current Firm
MOOMOO FINANCIAL INC.
CRD#: 283078 / SEC#: , 8-69739
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUTU US INC | SHAREHOLDER | |
| CHAN, WING KEI | MANAGING DIRECTOR | 6616753 |
| DU, SHUANG | HEAD OF US OPERATIONS | 5005050 |
| MCDONALD, NEIL ANTHONY | CEO | 1764574 |
| PALMER, NATHAN TYLER | PRESIDENT | 5805173 |
| PARSONS, DARREN JAMES | CHIEF OPERATIONS OFFICER | 2382680 |
| SHARMA, VICKRAMJIT | CHIEF LEGAL OFFICER | 7186502 |
| SHEN, QIUFANG | HEAD OF FINANCE | 3158926 |
| STIFELMAN, GLEN ROBERT | CHIEF COMPLIANCE OFFICER | 1699013 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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