Julie Li-yuen Ku
Professional Summary
Julie Li-yuen Ku, who also goes by Julie Ku, Li Yuen Ku, Liyuen Ku, is a registered financial advisor currently at FIRSTRADE SECURITIES INC. located in Orlando, Florida. Julie is registered as a RR (Registered Representative) and started their career in finance in 1992. Julie has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 11 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Julie Ku, Li Yuen Ku, Liyuen Ku
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Videos & Posts
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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
34 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST FLUSHING SECURITIES INC. | FIRSTRADE SECURITIES INC.
Contact Information
Main Address
30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354Mailing Address
30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354Phone Number
(718) 269-1565Established
Delaware since 06/08/2000Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
7Arbitration
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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
(3/29/2022)
(11/15/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed May 1992SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Julie Li-yuen Ku's CRS (Customer Relationship Summary).
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