Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guanwu? Claim Your ProfileGuanwu Ye is a financial professional with a broad range of experience in the securities industry. Guanwu has held positions at several firms including Tradeup Securities, Inc., US Tiger Securities, Inc., CICC US SECURITIES, INC., CITIC SECURITIES INTERNATIONAL USA, LLC and CLSA AMERICAS, LLC. Guanwu is currently registered as a broker with Tradeup Securities, Inc. and US Tiger Securities, Inc..
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.
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.
1
2
NJ
07/29/2019 - Present
Tradeup Securities, Inc. (ROSELAND NJ)
NY
09/13/2017 - 04/30/2019
CICC US SECURITIES, INC. (NEW YORK NY)
NY
06/06/2017 - 08/25/2017
CITIC SECURITIES INTERNATIONAL USA, LLC (NEW YORK NY)
NY
09/03/2015 - 08/25/2017
CLSA AMERICAS, LLC (NEW YORK NY)
NY
06/28/2016 - 09/09/2016
CITIC SECURITIES INTERNATIONAL USA, LLC (New York NY)
NY
11/21/2011 - 05/18/2012
MEYERS ASSOCIATES, L.P. (NEW YORK NY)
BC
Issued 01/13/2017
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/27/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/29/2024
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/15/2022
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/11/2016
Series 4 - Registered Options Principal Examination
BC
Issued 10/23/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 04/29/2022
Series 52TO - Municipal Securities Representative Examination
BC
Issued 02/08/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2017
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/19/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 04/27/2016
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/14/2016
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/03/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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