Yufang Xi

HUATAI SECURITIES (USA)

New York, NY 10017

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CRD#: 5369692

Professional summary

Yufang Xi is a registered financial professional currently at HUATAI SECURITIES (USA), INC. located in New York, New York.

Yufang is registered as a RR (Registered Representative) and started their career in finance in 2012. Yufang has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Yufang Xi's 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

February 7, 2023 - Present

HUATAI SECURITIES (USA), INC.

Office #1: 280 Park Ave 21 Floor East, New York, NY 10017

CRD#: 298809

New York, NY

Past

August 9, 2021 - February 6, 2023

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

December 12, 2017 - July 27, 2021

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

February 28, 2012 - December 19, 2017

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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 York
(2/7/2023)

Exams

State Security Law Exam

Series 63

Date: 3/12/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/27/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/27/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/8/2023

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

HUATAI SECURITIES (USA), INC.

CRD#: 298809 / SEC#: , 8-70231

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

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Contact information

Main Address

280 Park Ave 21 Floor East, New York, NY 10017

Mailing Address

280 Park Ave 21 Floor East, New York, NY 10017

Phone number

(212) 763-8180

Established

Delaware since 08/24/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HUATAI SECURITIES USA HOLDINGS, INC.	SOLE SHAREHOLDER
LIN, BRYAN DAWEI	CHIEF EXECUTIVE OFFICER/DIRECTOR	2923067
MAO, SANDRA YUAN-SAN	CHIEF COMPLIANCE OFFICER	4318909
RUTITSKIY, DMITRIY	FINOP	6117665
SUN, YING	BOARD MEMBER	7026572
WANG, CHONG	BOARD MEMBER	7030757
WANG, LEI	BOARD MEMBER	7078240

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Yufang Xi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yufang Xi's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

MIZUHO SECURITIES USA LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/2012

SIE

Date: 10/1/2018

Series 3

Date: 3/27/2012

Series 7

Date: 2/27/2012

Series 24

Date: 11/8/2023

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HUATAI SECURITIES (USA), INC.

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HUATAI SECURITIES (USA), INC.

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