Yan Wu
Professional summary
Yan Wu is a registered financial professional currently at HAITONG INTERNATIONAL SECURITIES (USA) INC. located in New York, New York.
Yan is registered as a RR (Registered Representative) and started their career in finance in 1998. Yan has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yan Wu's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 15, 2019 - Present
HAITONG INTERNATIONAL SECURITIES (USA) INC.
Office #1: 130 West 42nd Street Fl 18, New York, NY 10036Office #2: 130 West 42nd Street Fl 18, New York, NY 10036January 3, 2019 - October 22, 2019
CLSA AMERICAS, LLC
June 23, 2017 - October 22, 2019
CLSA AMERICAS, LLC
September 5, 2012 - October 22, 2019
CITIC SECURITIES INTERNATIONAL USA, LLC
February 23, 2009 - July 18, 2012
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
September 26, 2005 - April 20, 2009
CAZENOVE INCORPORATED
August 2, 2004 - September 28, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.
November 3, 1998 - August 20, 2002
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/18/2022)
(11/18/2022)
(11/15/2019)
(11/18/2022)
(11/18/2022)
Exams
FINRA
Nasdaq Stock Market
Current Firm
HAITONG INTERNATIONAL SECURITIES (USA) INC.
CRD#: 132201 / SEC#: , 8-66566
Contact information
FINRA licenses (25 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| BASILOTTA, SILVIA GRACIELA | FINANCIAL OPERATIONS PRINCIPAL | 1201948 |
| CHOU, CHUK NAM | BOARD OF DIRECTORS MEMBER | 7755974 |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER | 1554301 |
| SHI, PING | BOARD OF DIRECTORS MEMBER | 7030173 |
| WU, YAN | DEPUTY CEO, BOARD OF DIRECTORS MEMBER | 3120765 |
| YE, WEILU | CEO, BOARD OF DIRECTORS MEMBER | 7205185 |
Disclosures
| Regulatory Event | 1 |
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.
