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Ziying Zhou
Josephine Zhou
CRD#: 7176247
IA
B
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 1960 The Alameda
Ste 20
San Jose, CA 95126
Ste 20
San Jose, CA 95126
0
Disclosures
1
Year of Experience
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State Registrations
B
California 8/28/2024
IA
California 8/28/2024
SRO Registrations
B
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IA
Registered with this firm since 8/28/2024
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Registered with this firm since 8/28/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/27/2024 - 07/22/2024 | MILL VALLEY, CA | |
IA | 09/21/2023 - 11/09/2023 | Dallas, TX | |
B | 11/03/2023 - 11/09/2023 | CHICAGO, IL | |
IA | 02/13/2023 - 03/30/2023 | AUSTIN, TX | |
IA | 04/01/2022 - 06/20/2022 | AUSTIN, TX | |
B | 04/01/2022 - 06/20/2022 | AUSTIN, TX | |
IA | 01/06/2022 - 02/17/2022 | New York, NY | |
B | 01/03/2022 - 02/17/2022 | New York, NY | |
IA | 07/28/2020 - 09/16/2020 | CHARLOTTE, NC | |
B | 07/07/2020 - 09/16/2020 | CHARLOTTE, NC |
CHARLOTTE, NC
07/28/2020 - 09/16/2020
CHARLOTTE, NC
07/07/2020 - 09/16/2020
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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.