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YD

Yanyan Dong

NINTH ETERNITY SECURITIES LLC
Shenzhen, 518045
Some features on this profile are disabled
CRD#: 7215862
YD

Professional summary

Yanyan Dong is a registered financial professional currently at NINTH ETERNITY SECURITIES LLC .

Yanyan is registered as a RR (Registered Representative) and started their career in finance in 2021. Yanyan has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yanyan Dong's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 5, 2021 - Present

NINTH ETERNITY SECURITIES LLC

Office #1: Suite 3802 38/f Cfc Tower One 5 Shihua Road, Futian District, Shenzhen, 518045
BD
CRD#: 307492
Shenzhen,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(1/18/2023)
RR
Maryland
(6/7/2021)
RR
Massachusetts
(4/27/2021)
RR
Minnesota
(10/27/2022)
RR
New Jersey
(9/7/2021)
RR
New York
(5/9/2021)
RR
North Carolina
(5/7/2021)
RR
Pennsylvania
(5/10/2021)
RR
South Carolina
(10/25/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/31/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/1/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NE
NINTH ETERNITY SECURITIES LLC
NINTH ETERNITY SECURITIES LLC

CRD#: 307492 / SEC#: , 8-70514

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1 Broadway 14th Floor, Cambridge, MA 02142
Mailing Address
1 Broadway 14th Floor, Cambridge, MA 02142
Phone number
(508) 638-8199
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NINTH ETERNITY CAPITAL LTD.OWNER/SHAREHOLDER
DONG, YANYANPRESIDENT & CEO7215862
ONESTO, RICHARD ERNESTFINOP/PFO/POO2453096
QIAN, STEVEN JUNPRINCIPAL2921286
SOLANO, STEVE NMNCHIEF COMPLIANCE OFFICER1650853

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

NINTH ETERNITY SECURITIES LLC

CRD#: 307492Shenzhen 518045

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