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Ying ying Xu

Cetera Investment Services LLC

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About Ying ying Xu

Ying ying Xu is a financial advisor with Cetera Investment Services LLC in Pasadena, California. Ying ying has been in the financial industry since February 12, 2019. Ying ying is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 63, Series 6TO, and SIE licenses. Ying ying previously worked at J.P. Morgan Securities LLC. Ying ying is registered to do business in California and New York.

Firm Information

Ying ying Xu is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

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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Ying ying Xu’s Registration & Firm History

CA

11/25/2022 - Present

Cetera Investment Services LLC (PASADENA CA)

CA

01/18/2019 - 10/29/2022

J.P. MORGAN SECURITIES LLC (ARCADIA CA)

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Licenses & Designations

BC

Issued 03/07/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/18/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 12/13/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ying ying Xu.
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