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YH

Yuhsuan Hsieh

Some features on this profile are disabled
CRD#: 5966720
YH

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.

Yuhsuan Hsieh, who also goes by Yu Hsuan Hsieh, Yu-hsuan Hsieh, Yuhsuan Hsieh, was a registered financial professional .

Yuhsuan is a previously registered financial professional and started their career in finance in 2012. Yuhsuan had worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24, Series 27 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yu Hsuan Hsieh | Yu-Hsuan Hsieh | Yuhsuan Hsieh

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®
None

Experience

Past

November 16, 2023 - March 4, 2024

COINBASE CAPITAL MARKETS CORP

BD
CRD#: 10722
NEW YORK, NY
Past

September 3, 2021 - December 6, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 3, 2021 - December 6, 2021

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

September 3, 2021 - December 6, 2021

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

December 7, 2018 - July 14, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 6, 2018 - November 9, 2018

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA
Past

September 24, 2012 - June 14, 2018

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL

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: 10/3/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/29/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 10/24/2012
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/22/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/12/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/24/2015
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/12/2012
Registered Options Principal Examination

Current Firm

CC
COINBASE CAPITAL MARKETS CORP
ADVANCED FINANCIAL PARTNERS | TAX SHELTERS SECURITIES CORPORATION | STEWART FINANCIAL SERVICES | RDD WEALTH MANAGEMENT | OPEN NETWORK FINANCIAL CONSULTING | KEYSTONE DIVERSIFIED SECURITIES | KEYSTONE CAPITAL CORPORATION | COINBASE CAPITAL MARKETS CORP | COINBASE CAPITAL MARKETS | AUOUR ADVISORY, LLC

CRD#: 10722 / SEC#: 801-78249, 8-28032

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

Main Address
One Madison Ave Suite 230, San Diego, CA 92130
Mailing Address
One Madison Ave 24th Fl, New York, NY 10010
Phone number
(858) 348-4405
Established
California since 06/18/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

KEYSTONE CAPITAL CORPORATION ADV PART 2A (9/22/2015)

Direct owners and executive officers

NamePositionCRD#
COINBASE GLOBAL, INC.DIRECT OWNER
COMPA, GREGORYCHIEF COMPLIANCE OFFICER5324133
COOK, KATHERINE RENEEEXECUTIVE PRINCIPAL3076337
PLUMMER, CHRISTINE MARIEFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL OPERATIONS OFFICER2903362
TUSAR, GREGORY ALEXANDERCEO2426485

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

COINBASE CAPITAL MARKETS CORP

CRD#: 10722

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