Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Yu is a financial professional with over 24 years of experience in the industry. Steven is currently registered with J.P. Morgan Prime Inc. and J.P. Morgan Securities LLC. Steven is a Series 7, 24, 4 and 63 licensed professional and holds a SIE and Series 99TO designation. Steven has worked with several firms during his career including Morgan Stanley & Co., Incorporated, Morgan Stanley DW Inc., TD Ameritrade, Inc., and Royce Investment Group, 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
NY
05/08/2019 - Present
J.p. Morgan Prime Inc. (NEW YORK NY)
NY
03/24/2008 - 10/01/2016
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
NY
03/24/2008 - 12/31/2008
J.P.MORGAN SECURITIES INC. (BROOKLYN NY)
CA
04/02/2007 - 03/17/2008
MORGAN STANLEY & CO., INCORPORATED (SANTA ANA CA)
CA
05/30/2006 - 04/02/2007
MORGAN STANLEY DW INC. (SANTA ANA CA)
NJ
04/14/1999 - 05/09/2006
TD AMERITRADE, INC. (JERSEY CITY NJ)
NY
06/05/1998 - 05/10/1999
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
BC
Issued 06/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/2006
Series 24 - General Securities Principal Examination
BC
Issued 05/05/2004
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
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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