Jiayu Wen
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.
Jiayu Wen was a registered financial professional .
Jiayu is a previously registered financial professional and started their career in finance in 2022. Jiayu had worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2022 - July 10, 2025
COMMERZ MARKETS LLC
March 23, 2022 - October 18, 2022
DREXEL HAMILTON, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/9/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 3/22/2022
General Securities Representative ExaminationCurrent Firm
COMMERZ MARKETS LLC
CRD#: 41957 / SEC#: , 8-49647
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
| Regulatory Event | 9 |
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.
