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YQ

Ying Qiao

Some features on this profile are disabled
CRD#: 7453258
YQ

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.

Ying Qiao, who also goes by Qiao Ying, was a registered financial professional .

Ying is a previously registered financial professional and started their career in finance in 2022. Ying had worked at 1 firm and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Qiao Ying

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

May 20, 2022 - May 21, 2025

TWO SIGMA SECURITIES, LLC

BD
CRD#: 148960
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 57TO
Date: 5/20/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 4/23/2022
Securities Industry Essentials Examination

Current Firm

TS
TWO SIGMA SECURITIES, LLC
SOHO SECURITIES, LLC | TWO SIGMA SECURITIES, LLC

CRD#: 148960 / SEC#: , 8-68090

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

Main Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013
Mailing Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013
Phone number
(212) 625-5700
Established
Delaware since 10/03/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TWO SIGMA SECURITIES GROUP HOLDINGS LLCSOLE MEMBER
LENTERMAN, REMCO OSCARCHIEF EXECUTIVE OFFICER2270233
LUBETSKY, JASON MATTHEWFINOP, CFO AND PRINCIPAL FINANCIAL OFFICER4012781
VALLESE, CARL JOSEPHCHIEF COMPLIANCE OFFICER4464191
VIADRO, DIMITRICOO AND PRINCIPAL OPERATIONS OFFICER5027346

Disclosures

Regulatory Event18

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

TWO SIGMA SECURITIES, LLC

CRD#: 148960

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