Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Casey? Claim Your ProfileCasey Yan Zhu is a financial advisor who is actively registered with the Financial Industry Regulatory Authority (FINRA) and several state securities regulators. Casey has been in the securities industry since August 2009. Casey is currently registered with HSBC Securities (USA) Inc. and has worked at Goldman Sachs & Co. LLC and Wells Fargo Investments, LLC previously. Casey holds the Series 66, Series 7 and SIE licenses. Casey's areas of specializations include: Securities, Insurance, and Options.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
09/17/2018 - Present
Hsbc Securities (usa) Inc. (San Francisco CA)
NY
02/21/2014 - 09/11/2018
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
01/06/2011 - 02/07/2014
GOLDMAN, SACHS & CO. (NEW YORK NY)
UT
04/20/2009 - 10/08/2010
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
BOTH
Issued 05/01/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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