Yao Zhang
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.
Yao Zhang was a registered financial professional .
Yao is a previously registered financial professional and started their career in finance in 2020. Yao had worked at 3 firms and has passed the Series 66, Series 99TO, Series 57TO, Series 79TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2024 - October 31, 2024
PACIFIC CENTURY SECURITIES, LLC
March 11, 2024 - November 19, 2024
GRF CAPITAL INVESTORS, INC.
February 24, 2023 - April 22, 2025
SAVVY ASSET MANAGEMENT LLC
September 28, 2020 - January 12, 2024
PACIFIC CENTURY SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 3/11/2024
Operations Professional ExaminationSeries 57TO
Date: 8/23/2021
Securities Trader ExamSeries 79TO
Date: 8/9/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 9/28/2020
General Securities Representative ExaminationCurrent Firm
PACIFIC CENTURY SECURITIES, LLC
CRD#: 131607 / SEC#: , 8-66487
Contact information
FINRA licenses (14 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.
