Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Naiwen? Claim Your ProfileNaiwen Yu is a financial advisor with UBS Securities LLC, based in Chicago, IL. Naiwen has been in the securities industry since 2020. Naiwen holds the Series 7TO, Series 79TO, and Series 63 licenses. Naiwen previously worked at CREDIT SUISSE SECURITIES (USA) LLC in Chicago, IL.
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.
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2
IL
09/29/2023 - Present
UBS Securities LLC (Chicago IL)
IL
09/04/2020 - 09/29/2023
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
BC
Issued 11/19/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/2023
Series 7TO - General Securities Representative Examination
BC
Issued 09/04/2020
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 08/27/2020
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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