Betty F. 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.
Betty F Yu, who also goes by Betty (fan) Yu, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 2001. Betty had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2020 - August 9, 2023
PRIME NUMBER CAPITAL, LLC
February 12, 2019 - December 10, 2020
MARCO POLO SECURITIES INC.
June 24, 2016 - January 9, 2017
INTE SECURITIES LLC
November 7, 2014 - September 11, 2015
UNIVEST SECURITIES, LLC
October 23, 2012 - November 14, 2012
BENJAMIN & JEROLD BROKERAGE I, LLC
June 1, 2009 - February 26, 2010
MORGAN STANLEY
January 6, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 5, 2001 - July 23, 2007
DAIWA CAPITAL MARKETS AMERICA 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
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
PRIME NUMBER CAPITAL, LLC
CRD#: 297029 / SEC#: , 8-70118
Contact information
FINRA licenses (6 States and Territories)
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.
