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LZ

Leon L. Zhou

H.C.WAINWRIGHT & CO.
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 7571012
LZ
Leon L. ZhouH.C.WAINWRIGHT & CO.

Professional summary

Leon L. Zhou, who also goes by Leon Luyang Zhou, Leon Zhou, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Leon is registered as a RR (Registered Representative) and started their career in finance in 2023. Leon has worked at 5 firms and has passed the Series 63, Series 86, Series 87 and SIE exams.

Aliases

Leon Luyang Zhou | Leon Zhou

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) - BD

Click below to view Leon L. Zhou's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 7, 2026 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022
BD
CRD#: 375
NEW YORK, NY
Past

July 1, 2025 - March 10, 2026

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

February 27, 2025 - April 23, 2025

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

April 10, 2024 - October 25, 2024

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

December 19, 2023 - March 28, 2024

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

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
New York
(7/7/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 12/19/2023
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/23/2023
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 9/15/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

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

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
CERASO, MATTHEW PAULFINOP, PFO, POO6822268
SILVERA, EDWARD DAVIDCHIEF EXECUTIVE OFFICER AND CHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375New York, NY 10022

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