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 professional 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, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yuan-pei Mao's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2026 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020Office #2: 1251 Avenue Of The Americas 5th Floor, New York, NY, 10020January 3, 2024 - November 17, 2025
SANTANDER US CAPITAL MARKETS LLC
November 1, 2021 - January 8, 2024
PALAFOX TRADING LLC
November 1, 2021 - January 8, 2024
CITADEL SECURITIES LLC
November 1, 2021 - January 8, 2024
CITADEL SECURITIES INSTITUTIONAL LLC
November 1, 2021 - January 8, 2024
CITADEL CLEARING LLC
May 31, 2019 - October 18, 2021
SANTANDER INVESTMENT SECURITIES INC.
October 1, 2008 - May 6, 2019
J.P. MORGAN SECURITIES LLC
May 1, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
September 19, 1996 - February 1, 2000
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/2/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 3/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
NATIXIS SECURITIES AMERICAS LLC
CRD#: 1101 / SEC#: 801-72849, 8-719
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| FARRELL, JOHN | PRINCIPAL OPERATIONS OFFICER | 5996161 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MAO, YUAN-PEI | CHIEF COMPLIANCE OFFICER | 1288447 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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