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JK

Julie L. Ku

FIRSTRADE SECURITIES
Orlando, FL 32817
Some features on this profile are disabled
CRD#: 1939433
JK

Professional summary

Julie Li-yuen Ku, who also goes by Julie Ku, Li Yuen Ku, Liyuen Ku, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julie Ku | Li Yuen Ku | Liyuen Ku

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julie Li-yuen Ku's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 21, 1992 - Present

FIRSTRADE SECURITIES INC.

Office #1: 3504 Lake Lynda Drive Suite 365, Orlando, FL 32817
BD
CRD#: 16843
Orlando, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/29/2022)
RR
New York
(11/15/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 5/19/1992
Assistant Representative-Order Processing Qualification Exam
SRO Registrations
RR
FINRA

Current Firm

FS
FIRSTRADE SECURITIES INC.
FIRST FLUSHING SECURITIES INC. | FIRSTRADE SECURITIES INC.

CRD#: 16843 / SEC#: , 8-34642

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354
Mailing Address
30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354
Phone number
(718) 269-1565
Established
Delaware since 06/08/2000
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIRSTRADE HOLDING CORPORATIONPARENT COMPANY
KU, JULIE LI-YUENSECRETARY1939433
LIU, JOHNCEO/CHAIRMAN/FINOP/ROSFP712988
RYAN, KIMBERLY ANNCHIEF COMPLIANCE OFFICER4316310

Disclosures

Regulatory Event7
Arbitration2

Red Flags

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.

Company Information

FIRSTRADE SECURITIES INC.

CRD#: 16843Orlando, FL 32817

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