Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yu? Claim Your ProfileYu Shi is a registered representative with Needham & Company, LLC. Yu is licensed in 5 states (CA, IL, MA, MN, NY) and has been in the industry for 2 years. Yu Shi specializes in securities research.
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.
Securities research
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
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2
CA
03/07/2019 - Present
Needham & Company, LLC (SAN FRANCISCO CA)
BC
Issued 04/01/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/07/2019
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/25/2019
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 02/07/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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