YY
Yuan Yuan
GRV SECURITIES LLC
NEW YORK, NY 10153
Some features on this profile are disabled
CRD#: 5792319
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Professional summary
Yuan Yuan is a registered financial professional currently at GRV SECURITIES LLC located in New York, New York.
Yuan is registered as a RR (Registered Representative) and started their career in finance in 2010. Yuan has worked at 2 firms and has passed the Series 63, Series 57TO, SIE and Series 7 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 Yuan Yuan'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
May 6, 2022 - Present
GRV SECURITIES LLC
Office #1: 767 5th Avenue Floor 11, New York, NY 10153BD
CRD#: 138348
NEW YORK, NY
Past
April 13, 2015 - May 4, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 8, 2010 - May 9, 2013
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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
Alabama(5/6/2022)
RR
Alaska(5/6/2022)
RR
Arizona(5/6/2022)
RR
Arkansas(5/6/2022)
RR
California(5/6/2022)
RR
Colorado(5/6/2022)
RR
Connecticut(5/6/2022)
RR
Delaware(5/6/2022)
RR
District of Columbia(5/6/2022)
RR
Florida(5/6/2022)
RR
Georgia(5/6/2022)
RR
Hawaii(5/6/2022)
RR
Idaho(5/6/2022)
RR
Illinois(5/6/2022)
RR
Indiana(5/6/2022)
RR
Iowa(5/6/2022)
RR
Kansas(5/6/2022)
RR
Kentucky(5/6/2022)
RR
Louisiana(5/6/2022)
RR
Maine(5/6/2022)
RR
Maryland(5/6/2022)
RR
Massachusetts(5/6/2022)
RR
Michigan(5/6/2022)
RR
Minnesota(5/6/2022)
RR
Mississippi(5/6/2022)
RR
Missouri(5/6/2022)
RR
Montana(5/6/2022)
RR
Nebraska(5/6/2022)
RR
Nevada(5/6/2022)
RR
New Hampshire(5/6/2022)
RR
New Jersey(5/6/2022)
RR
New Mexico(5/6/2022)
RR
New York(5/6/2022)
RR
North Carolina(5/6/2022)
RR
North Dakota(5/6/2022)
RR
Ohio(5/9/2022)
RR
Oklahoma(5/6/2022)
RR
Oregon(5/6/2022)
RR
Pennsylvania(5/6/2022)
RR
Puerto Rico(5/6/2022)
RR
Rhode Island(5/6/2022)
RR
South Carolina(5/6/2022)
RR
South Dakota(5/6/2022)
RR
Tennessee(5/6/2022)
RR
Texas(5/6/2022)
RR
Utah(5/6/2022)
RR
Vermont(5/6/2022)
RR
Virgin Islands(5/6/2022)
RR
Virginia(5/6/2022)
RR
Washington(5/6/2022)
RR
West Virginia(5/6/2022)
RR
Wisconsin(5/6/2022)
RR
Wyoming(5/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC
CRD#: 138348 / SEC#: , 8-67160
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GCM GROSVENOR L.P. | SOLE MEMBER | 108654 |
| DANIEL, DAWNA LYNNE | CHIEF COMPLIANCE OFFICER | 5137048 |
| HENRICH, DIANNA LEA | MANAGING DIRECTOR | 4695780 |
| MONTGOMERY, BURKE JOHNSON | GENERAL COUNSEL | 5067591 |
| SACKS, MICHAEL JAY | MANAGER/CHIEF EXECUTIVE OFFICER | 2077424 |
| SULLIVAN, KATHLEEN PATRICIA | FINANCIAL AND OPERATIONS PRINCIPAL | 5099521 |
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.
