Jintao Wan
Professional summary
Jintao Wan, who also goes by Ben Wan, is a registered financial professional currently at UPMARKET SECURITIES LLC located in Milpitas, California.
Jintao is registered as a RR (Registered Representative) and started their career in finance in 2021. Jintao has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jintao Wan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2025 - Present
UPMARKET SECURITIES LLC
Office #1: 1525 Mccarthy Boulevard #1000, Milpitas, CA 95035Office #2: 530 Technology Drive Suite 100 & 200, Irvine, CA 92618August 9, 2021 - March 22, 2023
NI ADVISORS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2025)
(2/23/2025)
(8/5/2025)
(2/23/2025)
(2/23/2025)
(10/1/2025)
(3/13/2025)
Exams
Series 7TO
Date: 2/20/2025
General Securities Representative ExaminationSeries 6TO
Date: 8/7/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
UPMARKET SECURITIES LLC
CRD#: 295634 / SEC#: , 8-70120
Contact information
FINRA licenses (37 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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