Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yi? Claim Your ProfileYi Liu is a financial advisor with UBS Securities LLC in New York, NY. Yi has been in the industry since August 1, 2019. Yi holds the Series 63, Series 7TO, Series 79TO, and SIE licenses. Yi is registered with the state of New York and FINRA.
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
11/20/2023 - Present
UBS Securities LLC (New York NY)
NY
08/02/2019 - 11/20/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 10/21/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2022
Series 7TO - General Securities Representative Examination
BC
Issued 08/02/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/13/2019
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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