David J. Hu
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.
David Jiajie Hu was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2009. David had worked at 4 firms and has passed the Series 66, Series 7TO 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
January 5, 2023 - January 11, 2024
DIMENSIONAL FUND ADVISORS LP
October 25, 2022 - January 11, 2024
DFA SECURITIES LLC
October 4, 2011 - May 6, 2013
ALPS DISTRIBUTORS, INC.
August 26, 2009 - July 29, 2010
BARCLAYS CAPITAL INC.
August 19, 2009 - July 29, 2010
BARCLAYS CAPITAL INC.
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
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: 10/24/2022
General Securities Representative ExaminationCurrent Firm
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
