Richard Y. Fu
Professional summary
Richard Yao-xin Fu, who also goes by Richcard Yao-xin Fu, is a registered financial professional currently at WHITEMARSH CAPITAL ADVISORS located in Marlton, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7, Series 10, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Yao-xin Fu's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2009 - Present
WHITEMARSH CAPITAL ADVISORS
September 6, 2007 - December 20, 2007
MONTECITO ADVISORS, INC.
January 14, 2004 - July 18, 2005
E*TRADE SECURITIES LLC
February 26, 2002 - January 7, 2004
TD AMERITRADE, 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
(11/9/2009)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
WHITEMARSH CAPITAL ADVISORS
CRD#: 127373 / SEC#: , 8-65988
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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