Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yu? Claim Your ProfileYu Xiao is a financial professional with over nine years of experience in the securities industry. Yu is currently registered with SG Americas Securities, LLC and has held prior positions with BOFA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Yu has a wide range of experience and holds several licenses including Series 3, 7, 55, 56, 57TO, and 63. Yu's experience and qualifications allow Yu to provide a variety of services to clients.
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.
1
2
NY
03/26/2024 - Present
SG Americas Securities, LLC (NEW YORK NY)
NY
05/10/2019 - 08/21/2023
BOFA SECURITIES, INC. (NEW YORK NY)
NY
08/01/2016 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/23/2014 - 07/25/2016
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
BC
Issued 02/10/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/15/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2014
Series 3 - National Commodity Futures Examination
BC
Issued 03/04/2014
Series 56 - Proprietary Trader Qualification Examination
BC
Issued 02/26/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/23/2014
Series 7 - General Securities Representative 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 PEARL, 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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