Eric Niu

BLUE OWL SECURITIES

Short Hills, NJ 07078

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CRD#: 4964183

Professional summary

Eric Niu, who also goes by Eric Yung-ning Niu, is a registered financial professional currently at BLUE OWL SECURITIES located in Short Hills, New Jersey.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2006. Eric has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Yung-Ning Niu

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) - BD

Click below to view Eric Niu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 3, 2024 - Present

BLUE OWL SECURITIES

Office #1: 51 John F. Kennedy Parkway, Short Hills, NJ 07078

CRD#: 283250

Short Hills, NJ

Past

May 10, 2019 - November 11, 2024

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

October 9, 2017 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 29, 2015 - February 24, 2017

EVERCORE GROUP L.L.C.

CRD#: 42405

NEW YORK, NY

Past

December 3, 2009 - May 29, 2015

GOLDMAN SACHS & CO. LLC

CRD#: 361

JERSEY CITY, NJ

Past

September 22, 2008 - December 2, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 19, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(12/3/2024)

New York
(12/3/2024)

Exams

State Security Law Exam

Series 63

Date: 7/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BLUE OWL SECURITIES

BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

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

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Contact information

Main Address

375 Park Avenue, New York, NY 10152

Mailing Address

375 Park Avenue 4th Floor, New York, NY 10152

Phone number

(212) 419-3000

Established

Delaware since 12/17/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BLUE OWL CAPITAL GROUP LLC	SOLE MEMBER
AMATO, KERRI ANN	CHIEF COMPLIANCE OFFICER	4710835
CONNOR, SEAN RICHARD	PRESIDENT AND CHIEF EXECUTIVE OFFICER	6019182
DIRESTA, ANDREW	FINOP	7459031

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.

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Eric Niu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Niu's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOFA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EVERCORE GROUP L.L.C.

GOLDMAN SACHS & CO. LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/28/2006

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2006

FINRA

Current Firm

BLUE OWL SECURITIES

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BLUE OWL SECURITIES

TRUST BUT VERIFY

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