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YG

Yafu Guo

TJ CAPITAL HOLDINGS LLC
Springfield, NJ
Some features on this profile are disabled
CRD#: 2702006
YG

Professional summary

Yafu Guo is a registered financial advisor currently at TJ CAPITAL HOLDINGS LLC located in Springfield, New Jersey.

Yafu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Yafu has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yafu Guo'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®
None

Experience

Current

June 29, 2018 - Present

TJ CAPITAL HOLDINGS LLC

RIA
CRD#: 122863
Springfield, NJ
Past

November 16, 2017 - May 14, 2018

CRAFT CAPITAL MANAGEMENT LLC

BD
CRD#: 171350
New York, NY
Past

February 14, 2005 - February 1, 2018

TJ CAPITAL HOLDINGS LLC

RIA
CRD#: 122863
MATAWAN, NJ
Past

January 30, 1996 - November 11, 2016

UNIVEST SECURITIES, LLC

BD
CRD#: 36105
NEW YORK, NY

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
New Jersey
(6/29/2018)
IAR
New York
(11/4/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/12/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/1996
General Securities Representative Examination

Current Firm

TC
TJ CAPITAL HOLDINGS LLC
TJ CAPITAL HOLDINGS LLC | TJ CAPITAL MANGEMENT, L.P. | TJ CAPITAL MANAGEMENT, L.P.

CRD#: 122863 / SEC#:

New Jersey
Registered Investment Advisory firm - (7/1/2002 Approved)
New York
Registered Investment Advisory firm - (5/14/2002 Approved)
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Contact information

Main Address
Springfield, NJ
Mailing Address
Phone number
(212) 226-1898
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts45
AUM (Assets Under Management)$ 37,900,000

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

TJ CAPITAL HOLDINGS LLC

CRD#: 122863Springfield, NJ

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Contact information

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