YW
Yu Wang
IHS HEROLD
Norwalk, CT 06854
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CRD#: 1414542
YW
Professional summary
Yu Wang is a registered financial advisor currently at IHS HEROLD INC. located in Norwalk, Connecticut.
Yu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Yu has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Yu Wang's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 8, 2016 - Present
IHS HEROLD INC.
Office #1: 200 Connecticut Ave. 3rd Floor, Norwalk, CT 06854RIA
CRD#: 127160
Norwalk, CT
Past
May 30, 2012 - December 31, 2015
IHS HEROLD INC.
RIA
CRD#: 127160
NORWALK, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Connecticut(1/8/2016)
Current Firm
IH
IHS HEROLD INC.
IHS HEROLD INC. | JOHN S. HEROLD INC.
CRD#: 127160 / SEC#:
Connecticut
Registered Investment Advisory firm - (1/8/2016 Approved)Louisiana
Registered Investment Advisory firm - (12/31/2015 Failure to Renew)Massachusetts
Registered Investment Advisory firm - (2/17/2016 Approved)Texas
Registered Investment Advisory firm - (12/31/2015 Failure to Renew)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 Post Rd. West 2nd Floor, Westport, CT 06880
Mailing Address
Phone number
(203) 847-3344
Established
Firm type
Fiscal year end
# of Employees
34
Red Flags
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