Steven Yu
Professional summary
Steven Yu is a registered financial professional currently at J.P. MORGAN SECURITIES LLC located in Jersey City, New Jersey and J.P. MORGAN PRIME INC. located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Yu's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2016 - Present
J.P. MORGAN SECURITIES LLC
Office #1: 575 Washington Blvd, Jersey City, NJ 07310May 8, 2019 - Present
J.P. MORGAN PRIME INC.
Office #1: 383 Madison Avenue, New York, NY 10179March 24, 2008 - December 31, 2008
J.P. MORGAN SECURITIES LLC
March 24, 2008 - October 1, 2016
J.P. MORGAN CLEARING CORP.
April 2, 2007 - March 17, 2008
MORGAN STANLEY & CO. LLC
May 30, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 14, 1999 - May 9, 2006
TD AMERITRADE, INC.
June 5, 1998 - May 10, 1999
ROYCE INVESTMENT GROUP, 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
(10/1/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe 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
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
Red Flags
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