Yuan-pei Mao
Professional Summary
Yuan-pei Mao, who also goes by Pei-pei Mao, Yuan Pei Mao, Yuan Mao, Yuanpei Mao, is a registered financial advisor currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York. Yuan-pei is registered as a RR (Registered Representative) and started their career in finance in 1996. Yuan-pei has worked at 11 firms and has passed the Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 14,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pei-Pei Mao, Yuan Pei Mao, Yuan Mao, Yuanpei Mao
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
Contact Information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020Phone Number
(212) 872-5000Established
Delaware since 11/01/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | — |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| FARRELL, JOHN | PRINCIPAL OPERATIONS OFFICER | 5996161 |
| ISSANCHOU, EMMANUEL | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MAO, YUAN-PEI | CHIEF COMPLIANCE OFFICER | 1288447 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| ROSE, ZACHARY ELI | CO-HEAD OF GLOBAL MARKETS AMERICAS | 4813725 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
| SOURIGON, SIMON | CO-HEAD OF GLOBAL MARKETS AMERICAS | 7192582 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Oct 1998Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1999SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Yuan-pei Mao's CRS (Customer Relationship Summary).
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