Qofa W. Yu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Qofa Wayne Yu, who also goes by Wayne Yu, was a registered financial professional .
Qofa is a previously registered financial professional and started their career in finance in 1999. Qofa had worked at 4 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - July 24, 2012
RODMAN & RENSHAW, LLC
January 4, 2012 - April 2, 2012
MERRIMAN CAPITAL, INC.
April 29, 2008 - August 1, 2011
JEFFERIES LLC
April 19, 2002 - April 10, 2008
JEFFERIES LLC
November 22, 1999 - March 15, 2002
HERZOG, HEINE, GEDULD, 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
Exams
Series 55
Date: 1/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
