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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Ziying Zhou

Advisor at PROSPERA FINANCIAL SERVICES, INC.

San Jose, CA

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Search this name across graphsid dfx:ria:6687818e-0c0c-cd59-a7f4-18fe4c6faf73

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Jul 28, 2020 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROSPERA FINANCIAL SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 27, 2020
First registration: Jul 28, 2020
Dual registered: yes, broker-dealer
Other names: Ziying Zhou|Ziying Zhou|Josephine Zhou
IAPD individual key: 7176247

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Aug 28, 2024	n/a	yes	San Jose, CA	Current employment
CERITY PARTNERS LLC	Independent wealth	Feb 27, 2024	Jul 22, 2024	no	MILL VALLEY, CA\|NEW YORK, NY	Previous registration
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Sep 21, 2023	Nov 9, 2023	no	Dallas, TX\|CHICAGO, IL	Previous registration
HUB INVESTMENT PARTNERS, LLC	Independent wealth	Feb 13, 2023	Mar 30, 2023	no	AUSTIN, TX	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Apr 1, 2022	Jun 20, 2022	no	AUSTIN, TX	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jan 6, 2022	Feb 17, 2022	no	New York, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 28, 2020	Sep 16, 2020	no	NEW YORK, NY\|CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CERITY PARTNERS LLC	PROSPERA FINANCIAL SERVICES, INC.	Jul 22, 2024	Aug 28, 2024	37	Firm change	RIA to ibd
HIGHTOWER ADVISORS, LLC	CERITY PARTNERS LLC	Nov 9, 2023	Feb 27, 2024	110	Firm change	Ibd to RIA
HUB INVESTMENT PARTNERS, LLC	HIGHTOWER ADVISORS, LLC	Mar 30, 2023	Sep 21, 2023	175	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	HUB INVESTMENT PARTNERS, LLC	Jun 20, 2022	Feb 13, 2023	238	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Sep 16, 2020	Jan 6, 2022	477	Firm change after gap	Other

Relationships

Registered with (6)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Aug 28, 2024 to presentfactForm ADV
→ CERITY PARTNERS LLCRegistered adviserregistration: previous registration
Feb 27, 2024 to Jul 22, 2024factForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 21, 2023 to Nov 9, 2023factForm ADV
→ HUB INVESTMENT PARTNERS, LLCRegistered adviserregistration: previous registration
Feb 13, 2023 to Mar 30, 2023factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Apr 1, 2022 to Jun 20, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 28, 2020 to Sep 16, 2020factForm ADV

Dated events

Occurred
Jul 22, 2024
Advisor changed firm
Ziying Zhou left Cerity Partners Llc for Prospera Financial Services, Inc. (registered 2024-08-28)
Form ADVobserved 5 days ago
Occurred
Nov 9, 2023
Advisor changed firm
Ziying Zhou left Hightower Advisors, Llc for Cerity Partners Llc (registered 2024-02-27)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2023
Advisor changed firm
Ziying Zhou left Hub Investment Partners, Llc for Hightower Advisors, Llc (registered 2023-09-21)
Form ADVobserved 5 days ago
Occurred
Jun 20, 2022
Advisor changed firm
Ziying Zhou left Northwestern Mutual Investment Services,Llc for Hub Investment Partners, Llc (registered 2023-02-13)
Form ADVobserved 5 days ago