Yunfeng Xiao
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.
Yunfeng Xiao, who also goes by Alan XIao, was a registered financial professional .
Yunfeng is a previously registered financial professional and started their career in finance in 2014. Yunfeng had worked at 2 firms and has passed the Series 99TO, SIE, Series 57 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
December 10, 2019 - October 10, 2025
CITADEL SECURITIES LLC
November 26, 2014 - December 4, 2019
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 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.
