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Ivan Yu

Jefferies LLC

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About Ivan Yu

Ivan Yu is a financial professional with over five years of experience in the securities industry. Ivan is currently registered with Jefferies LLC and holds a Series 7, Series 16, Series 63, Series 86, and Series 87 license. Prior to Jefferies LLC, Ivan Yu was a registered representative with Wedbush Securities Inc., where he was also licensed as an Investment Advisor Representative.

Firm Information

Ivan Yu is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Ivan Yu’s Registration & Firm History

CA

03/22/2021 - Present

Jefferies LLC (SAN FRANCISCO CA)

CA

02/26/2018 - 03/24/2021

WEDBUSH SECURITIES INC. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 06/04/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/25/2020

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/23/2018

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 03/19/2018

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/26/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Ivan Yu.
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