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RZ

Ruiwen Zeng

CATHAY SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 7604206
RZ

Professional summary

Ruiwen Zeng, who also goes by Rulwen Zeng, is a registered financial professional currently at CATHAY SECURITIES, INC. located in New York, New York.

Ruiwen is registered as a RR (Registered Representative) and started their career in finance in 2022. Ruiwen has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rulwen Zeng

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 Ruiwen Zeng'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

April 9, 2024 - Present

CATHAY SECURITIES, INC.

Office #1: 40 Wall Street Suite 3600, New York, NY 10005
BD
CRD#: 21821
New York, NY
Past

August 24, 2023 - April 9, 2024

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
SALT LAKE CITY, UT
Past

August 11, 2022 - September 19, 2023

CATHAY SECURITIES, INC.

BD
CRD#: 21821
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
(4/9/2024)
RR
South Dakota
(6/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CATHAY SECURITIES, INC.
CATHAY SECURITIES, INC.

CRD#: 21821 / SEC#: , 8-39247

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

Main Address
40 Wall Street Suite 3600, New York, NY 10005
Mailing Address
40 Wall Street Suite 3600, New York, NY 10005
Phone number
(212) 285-2261
Established
New York since 11/02/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
CATHAY CAPITAL MANAGEMENT INC.SHAREHOLDER
LI, XIAOYU NMNCEO, FINROP, GP, SHAREHOLDER7546684
LIU, CHUN NMNSHAREHOLDER7473085
SUNPLUSWEN INTERNATIONAL HOLDINGS LIMITEDSHAREHOLDER
ZOU, YUE NMNSHAREHOLDER7528367
ZAGOTTI, MARK ANTONIOCCO, SROP, CROP, GP2534369

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

CATHAY SECURITIES, INC.

CRD#: 21821New York, NY 10005

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