Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Borui Zhang
Bray Zhang
CRD#: 6639846
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1900 Northern Blvd
Suite E
Manhasset, NY 11030
Registration History
201620172018201920202021202220232024202520262 FIRMS2017 - 2018 (<1 year)2 FIRMS2022 - Present (3 years)BTD AMERITRADE, INC. (CRD# 7870)2018 - 2024 (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2016 - 2016 (<1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2023 (5 years)IATD AMERITRADE, INC. (CRD# 7870)2018 - 2022 (4 years)
License(s)

State Registrations

B
Arizona 9/28/2024
B
New Jersey 1/26/2022
B
California 1/26/2022
B
New York 1/26/2022
B
Connecticut 1/26/2022
IA
New York 1/26/2022
B
Florida 1/26/2022
B
North Carolina 9/21/2024
B
Illinois 2/22/2025
B
Pennsylvania 2/23/2022
B
Massachusetts 3/5/2024
B
Texas 1/26/2022
B
New Hampshire 3/5/2024
B
Virginia 2/23/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1900 Northern Blvd Suite E, Manhasset, NY 11030
Registered with this firm since 1/26/2022
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1900 Northern Blvd Suite E, Manhasset, NY 11030
Registered with this firm since 1/26/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/26/2018 - 07/29/2024 TD AMERITRADE, INC. (CRD#:7870) Manhasset, NY
IA
 02/26/2018 - 09/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Manhasset, NY
IA
 02/27/2018 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Manhasset, NY
IA
 05/31/2017 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 05/02/2017 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) FOREST HILLS, NY
B
 05/09/2016 - 08/01/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) FLUSHING, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.