Shou Yung Hua
Professional summary
Shou Yung Hua, who also goes by Shou-yung Hua, Stephen Hua, Steve Hua, is a registered financial professional currently at INTERACTIVE BROKERS LLC located in Chicago, Illinois.
Shou Yung is registered as a RR (Registered Representative) and started their career in finance in 1998. Shou Yung has worked at 8 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shou Yung Hua's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2021 - Present
INTERACTIVE BROKERS LLC
Office #1: 209 South Lasalle Street 10th Floor, Chicago, IL 60604February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
March 23, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 13, 2007 - February 26, 2018
SCOTTRADE, INC.
May 18, 2006 - February 20, 2007
HSBC SECURITIES (USA) INC.
June 17, 2004 - March 30, 2006
TD AMERITRADE, INC.
April 7, 2000 - March 30, 2006
TD AMERITRADE, INC.
May 6, 1998 - July 7, 1998
OSCAR GRUSS & SON INCORPORATED
January 9, 1998 - May 7, 1998
LADENBURG THALMANN & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/17/2021)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
Red Flags
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