Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yan? Claim Your ProfileYan Wu is a financial professional with over 20 years of experience in the financial services industry. Yan is currently registered with Haitong International Securities (usa) Inc. Yan is a Series 3, 7, 24 and 66 licensed professional and holds a Series 63 license. Yan is registered in Illinois, Massachusetts, New York, Pennsylvania and Wisconsin. Prior to joining Haitong International Securities (usa) Inc., Yan was employed by CLSA AMERICAS, LLC, CITIC SECURITIES INTERNATIONAL USA, LLC, STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC., CAZENOVE INCORPORATED and CALYON SECURITIES (USA) 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.
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2
NY
11/15/2019 - Present
Haitong International Securities (usa) Inc. (NEW YORK NY)
NY
06/23/2017 - 10/22/2019
CLSA AMERICAS, LLC (NEW YORK NY)
NY
09/05/2012 - 10/22/2019
CITIC SECURITIES INTERNATIONAL USA, LLC (New York NY)
NY
02/23/2009 - 07/18/2012
STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC. (NEW YORK NY)
NY
09/26/2005 - 04/20/2009
CAZENOVE INCORPORATED (NEW YORK NY)
NY
08/02/2004 - 09/28/2005
CALYON SECURITIES (USA) INC (NEW YORK NY)
NY
11/03/1998 - 08/20/2002
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 12/20/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/1998
Series 3 - National Commodity Futures Examination
BC
Issued 11/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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