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HH

Hui Li Huang

Some features on this profile are disabled
CRD#: 7414556
HH

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.

Hui Li Huang, who also goes by Hui Li Huang, was a registered financial professional .

Hui Li is a previously registered financial professional and started their career in finance in 2021. Hui Li had worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hui Li Huang

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 2021 - January 18, 2023

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 11/22/2021
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/4/2021
Securities Industry Essentials Examination

Current Firm

CANTOR FITZGERALD & CO.
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

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

Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CFS CF & CO I HOLDINGS, L.P.MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
BANDELIER, PASCAL DANIELCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES4424051
CFLP CF&CO I HOLDINGS, L.P.LIMITED PARTNER
KELLY, SAGE NOLANCO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING2528122
MERKEL, STEPHEN MARCUSEXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY2366318
SALINAS, DANNYCHIEF FINANCIAL OFFICER6184109
SHIELDS, WILLIAM MICHAELCHIEF COMPLIANCE OFFICER2380166
WALL, CHRISTIAN DOUGLASCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME2751397

Disclosures

Regulatory Event97

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

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD & CO.

CRD#: 134

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