Lieting Yu
Professional summary
Lieting Yu, who also goes by Larry Yu, is a registered financial professional currently at IEX SERVICES LLC located in New York, New York.
Lieting is registered as a RR (Registered Representative) and started their career in finance in 2011. Lieting has worked at 2 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lieting Yu's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2013 - Present
IEX SERVICES LLC
Office #1: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007Office #2: 3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007September 7, 2011 - April 24, 2013
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/15/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/17/2012
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
IEX SERVICES LLC
CRD#: 167872 / SEC#: , 8-69280
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
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