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ZHENJIANG ALLAN GU
ALLAN GU, ZHEN JIANG GU
CRD#: 5449655
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 20 North Park Place
Floor 01
Morristown, NJ 07960-3979
Floor 01
Morristown, NJ 07960-3979
0
Disclosures
16
Years of Experience
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State Registrations
B
Alabama 1/26/2022
B
Minnesota 1/26/2022
B
Arizona 1/26/2022
B
Missouri 1/26/2022
B
California 1/26/2022
B
Nevada 5/17/2024
B
Colorado 1/26/2022
B
New Jersey 1/26/2022
B
Connecticut 1/26/2022
IA
New Jersey 3/14/2022
B
Delaware 1/26/2022
B
New York 1/26/2022
B
District of Columbia 1/26/2022
B
North Carolina 5/19/2024
B
Florida 1/26/2022
B
Ohio 1/26/2022
B
Georgia 1/26/2022
B
Oregon 3/23/2022
B
Illinois 1/26/2022
B
Pennsylvania 3/14/2022
B
Iowa 1/26/2022
B
South Carolina 1/26/2022
B
Maryland 1/26/2022
B
Texas 1/26/2022
B
Massachusetts 2/28/2022
B
Virginia 2/24/2022
SRO Registrations
B
B
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IA
Registered with this firm since 3/14/2022
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Registered with this firm since 1/26/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/26/2012 - 05/19/2024 | Millburn, NJ | |
IA | 09/26/2012 - 09/07/2023 | MIllburn, NJ | |
IA | 09/26/2012 - 10/14/2022 | Millburn, NJ | |
IA | 05/31/2011 - 08/21/2012 | NEW YORK, NY | |
B | 04/27/2011 - 08/21/2012 | NEW YORK, NY | |
B | 04/28/2008 - 03/03/2010 | NEW YORK, NY | |
B | 11/27/2007 - 04/11/2008 | HOWARD BEACH, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.