AZ
Annie C. Zhou
HPS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 7282954
AZ
Professional summary
Annie Chen Zhou is a registered financial professional currently at HPS SECURITIES, LLC located in New York, New York.
Annie is registered as a RR (Registered Representative) and started their career in finance in 2020. Annie has worked at 3 firms and has passed the Series 63, Series 3, Series 7TO, Series 79TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Annie Chen Zhou'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®
NoneExperience
Current
October 21, 2024 - Present
HPS SECURITIES, LLC
Office #1: 40 West 57th Street 33rd Floor, New York, NY 10019BD
CRD#: 319197
New York, NY
Past
May 4, 2021 - June 5, 2024
AQR INVESTMENTS, LLC
BD
CRD#: 289244
Greenwich, CT
Past
September 5, 2020 - March 30, 2021
FTP SECURITIES LLC
BD
CRD#: 129356
SAN FRANCISCO, CA
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
Alabama(10/21/2024)
RR
Alaska(10/21/2024)
RR
Arizona(10/21/2024)
RR
Arkansas(10/21/2024)
RR
California(10/21/2024)
RR
Colorado(10/21/2024)
RR
Connecticut(10/21/2024)
RR
Delaware(10/21/2024)
RR
District of Columbia(10/21/2024)
RR
Florida(10/21/2024)
RR
Georgia(10/21/2024)
RR
Hawaii(10/21/2024)
RR
Idaho(10/21/2024)
RR
Illinois(10/21/2024)
RR
Indiana(10/21/2024)
RR
Iowa(10/21/2024)
RR
Kansas(10/21/2024)
RR
Kentucky(10/21/2024)
RR
Louisiana(10/21/2024)
RR
Maine(10/21/2024)
RR
Maryland(10/21/2024)
RR
Massachusetts(10/21/2024)
RR
Michigan(10/21/2024)
RR
Minnesota(10/21/2024)
RR
Mississippi(10/21/2024)
RR
Missouri(10/21/2024)
RR
Montana(10/21/2024)
RR
Nebraska(10/21/2024)
RR
Nevada(10/21/2024)
RR
New Hampshire(10/21/2024)
RR
New Jersey(10/21/2024)
RR
New Mexico(10/21/2024)
RR
New York(10/21/2024)
RR
North Carolina(10/21/2024)
RR
North Dakota(10/21/2024)
RR
Ohio(10/21/2024)
RR
Oklahoma(10/21/2024)
RR
Oregon(10/21/2024)
RR
Pennsylvania(10/21/2024)
RR
Puerto Rico(10/21/2024)
RR
Rhode Island(10/21/2024)
RR
South Carolina(10/21/2024)
RR
South Dakota(10/21/2024)
RR
Tennessee(10/21/2024)
RR
Texas(10/21/2024)
RR
Utah(10/21/2024)
RR
Vermont(10/21/2024)
RR
Virgin Islands(10/21/2024)
RR
Virginia(10/21/2024)
RR
Washington(10/21/2024)
RR
West Virginia(10/21/2024)
RR
Wisconsin(10/21/2024)
RR
Wyoming(10/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/20/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 9/5/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC
CRD#: 319197 / SEC#: , 8-70910
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
