Yu He
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.
Yu He, who also goes by Ruby He, was a registered financial professional .
Yu is a previously registered financial professional and started their career in finance in 2009. Yu had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2017 - December 31, 2020
SAFEBAY, INC.
August 13, 2015 - July 31, 2017
NI ADVISORS
January 4, 2011 - October 31, 2011
NI ADVISORS
June 24, 2009 - January 14, 2010
FARMERS FINANCIAL SOLUTIONS, 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
Current Firm
SAFEBAY, INC.
CRD#: 289735 / SEC#:
Contact information
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.
