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Yan Xu

Pershing LLC

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About Yan Xu

Yan Xu is a registered representative with Pershing LLC. Yan holds the Series 99TO and SIE exams and has been in the industry for 2 years. Yan is currently registered with FINRA.

Firm Information

Yan Xu is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Yan Xu’s Registration & Firm History

NJ

11/22/2022 - Present

Pershing LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 11/22/2022

Series 99TO - Operations Professional Examination

BC

Issued 06/17/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Yan Xu.
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