Leon 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.
Leon Yu, who also goes by Leon Yu, Lilong Yu, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 2020. Leon had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2020 - December 25, 2020
HICKORY CAPITAL, 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 7TO
Date: 2/4/2020
General Securities Representative ExaminationCurrent Firm
HICKORY CAPITAL, LLC
CRD#: 291839 / SEC#: , 8-70065
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVANS, DOUGLAS CRAIG | CHIEF COMPLIANCE OFFICERF/MANAGING PRINCIPAL | 2176863 |
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.
