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JY

James Yuan

Some features on this profile are disabled
CRD#: 4388355
JY

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.

James Yuan, who also goes by Jimmy Wen Hsiao Yuan, Jimmy Yuan, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jimmy Wen Hsiao Yuan | Jimmy Yuan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 17, 2023 - September 11, 2025

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

BD
CRD#: 152920
NEW YORK, NY
Past

February 25, 2022 - February 7, 2023

PERSHING LLC

BD
CRD#: 7560
NEW YORK, NY
Past

October 12, 2021 - February 23, 2022

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

October 4, 2021 - February 23, 2022

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

October 19, 2020 - October 4, 2021

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
New York, NY
Past

May 21, 2020 - October 19, 2020

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

May 14, 2014 - October 19, 2020

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

August 13, 2012 - May 13, 2013

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

June 10, 2009 - July 18, 2012

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

June 22, 2007 - October 2, 2008

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

September 25, 2006 - July 24, 2007

CLARK DODGE & CO., INC.

BD
CRD#: 23288
NEW YORK, NY
Past

September 15, 2004 - September 13, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/6/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/14/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/27/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/29/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

AI
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920 / SEC#: , 8-68490

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Avenue Suite 1904, New York, NY 10022
Mailing Address
437 Madison Avenue Suite 1904, New York, NY 10022
Phone number
(212) 661-0061
Established
Delaware since 10/31/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASHMORE INVESTMENTS UK LTDOWNER
GRUNEBAUM, GEORGE PETERCEO2282530
RUDMAN, STEPHEN MARKCCO1884798
STEWART, SCOTT ALEXANDERFINOP6977422

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.

Company Information

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920

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