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YW

Yunhui Wang

CICC US SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 5744736
YW

Professional summary

Yunhui Wang, who also goes by Shannon Wang, is a registered financial professional currently at CICC US SECURITIES, INC. located in New York, New York.

Yunhui is registered as a RR (Registered Representative) and started their career in finance in 2010. Yunhui has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Wang

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 Yunhui Wang'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

January 5, 2010 - Present

CICC US SECURITIES, INC.

Office #1: 32nd Floor 280 Park Avenue, New York, NY, 10017Office #2: 280 Park Avenue 32nd Floor, New York, NY 10017
BD
CRD#: 143221
New York, NY

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
New York
(3/1/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CU
CICC US SECURITIES, INC.
CICC US SECURITIES, INC.

CRD#: 143221 / SEC#: , 8-67544

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

Main Address
280 Park Avenue 32nd Floor, New York, NY 10017
Mailing Address
280 Park Avenue 32nd Floor, New York, NY 10017
Phone number
(646) 794-8761
Established
Delaware since 08/25/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHINA INTERNATIONAL CAPITAL CORPORATION (USA) HOLDINGS INC.OWNER
LO, KINFAIFINOP2909826
SHI, XIANGDONGACTING CEO2913469
SHI, XIANGDONGCHIEF OPERATING OFFICER2913469
ZHANG, NANNANCHIEF COMPLIANCE OFFICER8072895

Disclosures

Regulatory Event1

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.

Company Information

CICC US SECURITIES, INC.

CRD#: 143221New York, NY 10017

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