Yini Xu
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.
Yini Xu was a registered financial professional .
Yini is a previously registered financial professional and started their career in finance in 2008. Yini had worked at 3 firms and has passed the Series 63 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
October 20, 2011 - July 23, 2012
BRILL SECURITIES, INC.
July 27, 2011 - September 19, 2011
LOMBARDI & CO., INC.
December 2, 2008 - May 18, 2011
SEIDEL & CO., LLC
April 15, 2008 - November 4, 2008
SEIDEL & CO., LLC
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
Current Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
