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XY

Xinyi Yu

Some features on this profile are disabled
CRD#: 5811661
XY

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.

Xinyi Yu, CFP®, who also goes by Cindy Yu, was a registered financial professional .

Xinyi is a previously registered financial professional and started their career in finance in 2010. Xinyi had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cindy Yu

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Past

September 12, 2023 - October 31, 2023

AC SUNSHINE SECURITIES LLC

BD
CRD#: 317903
Orlando, FL
Past

April 12, 2021 - September 28, 2021

GLOBAL PACIFIC SECURITIES US, INC.

BD
CRD#: 304566
New York, NY
Past

September 27, 2016 - December 31, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
PISCATAWAY, NJ
Past

January 6, 2012 - December 31, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PISCATAWAY, NJ
Past

July 5, 2010 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
PISCATAWAY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/3/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AS
AC SUNSHINE SECURITIES LLC
AC SUNSHINE SECURITIES LLC

CRD#: 317903 / SEC#: , 8-70837

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

Main Address
200 E. Robinson Street Suite 295, Orlando, FL 32801
Mailing Address
200 E. Robinson Street Suite 295, Orlando, FL 32801
Phone number
(689) 689-9686
Established
Florida since 06/16/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AC SUNSHINE MANAGEMENT LLCOWNER
CUI, YINGPRESIDENT, CEO, CFO2134588
SMULEVITZ, CHARLES DAVIDCCO5099387

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

AC SUNSHINE SECURITIES LLC

CRD#: 317903

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