Mary C. Yu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Ching Yu was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2007 - March 10, 2014
CGS INTERNATIONAL SECURITIES USA, INC.
September 8, 1997 - December 2, 2002
COWEN AND COMPANY
February 12, 1996 - November 3, 1997
SOCGEN-CROSBY SECURITIES INC.
January 27, 1994 - November 2, 1995
DEUTSCHE BANK SECURITIES INC.
April 26, 1990 - October 29, 1990
MORGAN STANLEY & CO. LLC
August 30, 1989 - February 1, 1993
WESTMINSTER RESEARCH ASSOCIATES LLC
May 18, 1988 - September 13, 1989
NATWEST SECURITIES CORPORATION
January 23, 1985 - May 4, 1988
SANYO SECURITIES AMERICA INC.
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
Current Firm
CGS INTERNATIONAL SECURITIES USA, INC.
CRD#: 141892 / SEC#: , 8-67414
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGS INTERNATIONAL SECURITIES PTE. LTD. | STOCKHOLDER | |
| CHIN-LUK, HELEN JADE | SENIOR VP, FINOP, CCO, CEO | 2292149 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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