Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Yu is an active Broker-Dealer registered representative with J.p. Morgan Securities LLC. Eric Yu has been in the securities industry since November 10, 2020. Previously, Eric Yu was employed by BNP PARIBAS SECURITIES CORP., BARCLAYS CAPITAL INC., and HSBC SECURITIES (USA) INC.. Eric Yu holds the following securities licenses: Series 63, Series 7TO, Series 57TO, Series 79TO, and SIE. Eric Yu is registered in 53 states and jurisdictions and has a total of 25 SRO registrations. J.p. Morgan Securities LLC is a broker-dealer registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). The firm is a full-service investment bank with a broad range of products and services for individual, institutional, and corporate clients.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
06/06/2024 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
12/18/2023 - 04/26/2024
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
05/20/2021 - 11/03/2023
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
08/10/2020 - 05/10/2021
HSBC SECURITIES (USA) INC. (NEW YORK NY)
BC
Issued 08/14/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/2024
Series 57TO - Securities Trader Exam
BC
Issued 01/11/2021
Series 7TO - General Securities Representative Examination
BC
Issued 08/10/2020
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/29/2020
SIE - Securities Industry Essentials 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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