YH
Yinan He
INTERACTIVE BROKERS LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5421001
YH
Professional summary
Yinan He is a registered financial professional currently at INTERACTIVE BROKERS LLC located in Chicago, Illinois and INTERACTIVE BROKERS CORP. located in Chicago, Illinois.
Yinan is registered as a RR (Registered Representative) and started their career in finance in 2007. Yinan has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Yinan He'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®
NoneExperience
Current
December 18, 2007 - Present
INTERACTIVE BROKERS LLC
Office #1: 209 South Lasalle Street 10th Floor, Chicago, IL 60604BD
CRD#: 36418
Chicago, IL
Current
June 7, 2021 - Present
INTERACTIVE BROKERS CORP.
Office #1: 209 S. Lasalle Street 11th Floor, Chicago, IL 60604BD
CRD#: 117942
Chicago, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/26/2019)
RR
Alaska(7/26/2019)
RR
Arizona(6/12/2019)
RR
Arkansas(7/26/2019)
RR
California(7/26/2019)
RR
Colorado(6/5/2019)
RR
Connecticut(6/6/2019)
RR
Delaware(7/26/2019)
RR
District of Columbia(6/5/2019)
RR
Florida(6/5/2019)
RR
Georgia(7/26/2019)
RR
Hawaii(7/26/2019)
RR
Idaho(6/12/2019)
RR
Illinois(6/21/2019)
RR
Indiana(7/26/2019)
RR
Iowa(7/26/2019)
RR
Kansas(7/26/2019)
RR
Kentucky(7/26/2019)
RR
Louisiana(6/5/2019)
RR
Maine(6/6/2019)
RR
Maryland(6/5/2019)
RR
Massachusetts(7/26/2019)
RR
Michigan(7/26/2019)
RR
Minnesota(7/26/2019)
RR
Mississippi(7/26/2019)
RR
Missouri(7/26/2019)
RR
Montana(7/26/2019)
RR
Nebraska(7/26/2019)
RR
Nevada(6/20/2019)
RR
New Hampshire(7/26/2019)
RR
New Jersey(7/26/2019)
RR
New Mexico(7/26/2019)
RR
New York(7/26/2019)
RR
North Carolina(7/26/2019)
RR
North Dakota(7/26/2019)
RR
Ohio(6/6/2019)
RR
Oklahoma(7/26/2019)
RR
Oregon(7/26/2019)
RR
Pennsylvania(7/26/2019)
RR
Puerto Rico(6/5/2019)
RR
Rhode Island(7/26/2019)
RR
South Carolina(7/26/2019)
RR
South Dakota(7/26/2019)
RR
Tennessee(7/26/2019)
RR
Texas(7/26/2019)
RR
Utah(7/26/2019)
RR
Vermont(7/26/2019)
RR
Virgin Islands(7/26/2019)
RR
Virginia(7/26/2019)
RR
Washington(7/26/2019)
RR
West Virginia(7/26/2019)
RR
Wisconsin(7/26/2019)
RR
Wyoming(7/26/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/27/2020
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IB
INTERACTIVE BROKERS CORP.
CONIFER FUTURE TRADE, LLC | INTERACTIVE BROKERS CORP. | FUTURETRADE SECURITIES, LLC | FUTURETRADE SECURITIES CORP.
CRD#: 117942 / SEC#: , 8-53615
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Pickwick Plaza, Greenwich, CT 06830
Mailing Address
Two Pickwick Plaza, Greenwich, CT 06830
Phone number
(203) 618-5700
Established
Delaware since 01/16/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
