Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ying? Claim Your ProfileYing Xu is a financial professional with over 20 years of experience in the securities industry. Ying is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Ying has held previous roles with WELLS FARGO SECURITIES, LLC in New York, NY, and Goldman, Sachs & Co. in New York, NY. Ying holds a variety of licenses and registrations, including Series 7, Series 63, Series 57TO, and Series 99TO. Ying's experience and qualifications make her a valuable resource for clients seeking financial advice.
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
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
08/17/2016 - 05/23/2023
WELLS FARGO SECURITIES, LLC (New York NY)
NY
03/06/2003 - 09/01/2016
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 03/24/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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