Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guozhen? Claim Your ProfileGuozhen Zhao is a financial advisor with over 8 years of experience in the financial services industry. Guozhen is currently registered with Citigroup Global Markets Inc. and holds several licenses, including Series 6, 7TO, 63, and 66. Guozhen has worked with HSBC Securities (USA) Inc. and PRUCO Securities, LLC. in the past. Guozhen provides various services, including financial planning, asset allocation advice, and portfolio management for individuals and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
1
2
NY
08/12/2022 - Present
Citigroup Global Markets Inc. (GREAT NECK NY)
NY
03/11/2019 - 04/26/2022
HSBC SECURITIES (USA) INC. (NEW HYDE PARK NY)
NY
04/13/2017 - 11/17/2017
HSBC SECURITIES (USA) INC. (ELMHURST NY)
NY
12/18/2012 - 03/23/2017
PRUCO SECURITIES, LLC. (FLUSHING NY)
BOTH
Issued 08/12/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/03/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/17/2017
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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