Lin Pan
Professional summary
Lin Pan, who also goes by Lin Pan, is a registered financial professional currently at UPMARKET SECURITIES LLC located in New York, New York.
Lin is registered as a RR (Registered Representative) and started their career in finance in 2023. Lin has worked at 2 firms and has passed the Series 63, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lin Pan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2025 - Present
UPMARKET SECURITIES LLC
Office #1: 1325 Avenue Of The Americas #2819, New York, NY 10019October 10, 2023 - February 12, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
(2/27/2025)
(2/26/2025)
(2/27/2025)
(2/26/2025)
(2/26/2025)
(2/26/2025)
(2/26/2025)
(2/27/2025)
(2/27/2025)
Exams
Series 6TO
Date: 10/10/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 10/10/2023
General Securities 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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