John 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.
John Yu was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 10 firms and has passed the Series 63, Series 55 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 4, 2010 - June 2, 2011
ECHOTRADE LLC
August 21, 2009 - November 12, 2009
MADISON PROPRIETARY TRADING GROUP, LLC
March 4, 2009 - September 25, 2009
G-2 TRADING,LLC
May 11, 2006 - January 8, 2008
OPUS TRADING FUND LLC
August 16, 1996 - March 16, 2004
SCHONFELD SECURITIES, LLC
November 7, 1995 - April 11, 1996
ALL-TECH DIRECT, INC.
June 17, 1994 - October 26, 1994
MEYERS SECURITIES CORPORATION
August 19, 1992 - April 20, 1994
UBS FINANCIAL SERVICES INC.
May 14, 1992 - July 17, 1992
CITIGROUP GLOBAL MARKETS INC.
September 26, 1991 - December 3, 1991
GRUNTAL & CO., L.L.C.
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 55
Date: 11/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
ECHOTRADE LLC
CRD#: 42239 / SEC#: , 8-49764
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
