Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yuan-pei? Claim Your ProfileYuan-pei Mao is a financial professional with over 25 years of experience in the industry. Yuan-pei currently works at Santander US Capital Markets LLC and previously worked at Citadel Securities LLC, Citadel Clearing LLC, Citadel Securities Institutional LLC, Palafox Trading LLC, Santander Investment Securities Inc., J.P. Morgan Securities LLC, Chase Securities Inc., and Hambrecht & Quist LLC. Yuan-pei holds a number of licenses and registrations including Series 7, 9, 10, 14, 24, 55, 57, 79, 99, and SIE.
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
01/03/2024 - Present
Santander US Capital Markets LLC (NEW YORK NY)
NY
11/01/2021 - 01/08/2024
CITADEL CLEARING LLC (New York NY)
NY
11/01/2021 - 01/08/2024
CITADEL SECURITIES INSTITUTIONAL LLC (New York NY)
NY
11/01/2021 - 01/08/2024
CITADEL SECURITIES LLC (NEW YORK NY)
NY
11/01/2021 - 01/08/2024
PALAFOX TRADING LLC (New York NY)
NY
05/31/2019 - 10/18/2021
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
NY
10/01/2008 - 05/06/2019
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
05/01/2001 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/05/2001 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/01/2000 - 02/05/2001
CHASE SECURITIES INC. (NEW YORK NY)
CA
09/19/1996 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2002
Series 14 - Compliance Officer Examination
BC
Issued 03/16/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/30/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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