Ziying Zhou
Ziying Zhou is a registered investment advisor at Prospera Financial Services, INC., based in San Jose, CA, with 2 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
1960 the Alameda, Ste 20, San Jose, CA, 95126
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
Cerity Partners LLC
Hightower Securities, LLCBroker
Hightower Advisors, LLC
Tcg Advisors, LLC a HUB International Company
Northwestern Mutual Investment Services, LLCBroker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.