Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hua? Claim Your ProfileHua Xu is a financial professional registered with FINRA and has been active in the industry since February 13, 2019. Hua is currently a registered representative with Smbc Nikko Securities America, Inc. Previously, Hua held positions with Cantor Fitzgerald & Co. and Goldman, Sachs & Co. Hua has a diverse range of licenses and certifications, including the Series 3, 7, 24, 57, 63, and SIE exams. Hua Xu holds registrations in numerous states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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
NY
04/15/2022 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
06/30/2015 - 08/02/2017
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
06/04/2014 - 07/10/2015
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 08/13/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2022
Series 24 - General Securities Principal Examination
BC
Issued 02/27/2023
Series 3 - National Commodity Futures Examination
BC
Issued 04/15/2022
Series 7TO - General Securities Representative Examination
BC
Issued 03/21/2022
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/2017
Series 57 - Securities Trader Exam
BC
Issued 06/04/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
Not sure Hua Xu is the right advisor for you? Invested Better is here to help.
