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Guanwu Ye

US TIGER SECURITIES

NEW YORK, NY

·CRD# 5985247·15 years experience

Professional Summary

Guanwu Ye, who also goes by Guan Wu Ye, Jack Ye, is a registered financial advisor currently at US TIGER SECURITIES, INC. located in New York, New York and TRADEUP SECURITIES, INC. located in Roseland, New Jersey. Guanwu is registered as a RR (Registered Representative) and started their career in finance in 2011. Guanwu has worked at 7 firms and has passed the Series 63, Series 66, Series 57TO, Series 99TO, Series 52TO, Series 3,...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Guan Wu Ye, Jack Ye

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

15 years in the financial services industry

Current & Past Employments

US TIGER SECURITIES, INC.·CRD# 120583

BD

437 Madison Ave 27th Floor, New York, NY 10022

April 23, 2019 - Present

TRADEUP SECURITIES, INC.·CRD# 18483

BD

101 Eisenhower Parkway, Roseland, NJ 07068

July 29, 2019 - Present

CICC US SECURITIES, INC.·CRD# 143221

BD

New York, NY

September 13, 2017 - April 30, 2019

CITIC SECURITIES INTERNATIONAL USA, LLC·CRD# 158266

BD

New York, NY

June 6, 2017 - August 25, 2017

CITIC SECURITIES INTERNATIONAL USA, LLC·CRD# 158266

BD

New York, NY

June 28, 2016 - September 9, 2016

CLSA AMERICAS, LLC·CRD# 165533

BD

New York, NY

September 3, 2015 - August 25, 2017

ARISTON WEALTH MANAGEMENT, L.P.·CRD# 158220

RIA

New York, NY

April 26, 2012 - May 18, 2012

ARISTON WEALTH MANAGEMENT, L.P.·CRD# 158220

RIA

New York, NY

January 25, 2012 - April 12, 2012

WINDSOR STREET CAPITAL, LP·CRD# 34171

BD

New York, NY

November 21, 2011 - May 18, 2012

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Current Firm

TS

TRADEUP SECURITIES, INC.

MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: 8-36754

BD

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

Contact Information

Main Address

437 Madison Ave 27th Floor, New York, NY 10022

Mailing Address

437 Madison Ave 27th Floor, New York, NY 10022

Phone Number

(973) 228-2886

Established

New Jersey since 09/03/1986

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TIGER FINTECH HOLDINGS INC.	DOMESTIC ENTITY	—
HUANG, LEI	CEO	5248191
HUANG, LEI	BOARD OF DIRECTOR	5248191
LIANG, CE	HEAD OF FINANCE/ PFO	7554601
LIU, YOUQING	FINOP/POO/CFO	5893930
LUPO, VINCENT JR.	CHIEF OPERATIONS OFFICER	1478037
YE, GUANWU	CCO	5985247

Disclosures

Regulatory Event

4

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/2/2021)

RR

Alaska
(11/2/2021)

RR

Arizona
(11/2/2021)

RR

Arkansas
(11/2/2021)

RR

California
(11/2/2021)

RR

Colorado
(11/2/2021)

RR

Connecticut
(11/2/2021)

RR

Delaware
(11/2/2021)

RR

District of Columbia
(11/2/2021)

RR

Florida
(10/2/2019)

RR

Georgia
(11/2/2021)

RR

Hawaii
(11/2/2021)

RR

Idaho
(11/2/2021)

RR

Illinois
(11/2/2021)

RR

Indiana
(11/2/2021)

RR

Iowa
(11/2/2021)

RR

Kansas
(11/2/2021)

RR

Kentucky
(11/2/2021)

RR

Louisiana
(11/2/2021)

RR

Maine
(11/2/2021)

RR

Maryland
(11/2/2021)

RR

Massachusetts
(11/2/2021)

RR

Michigan
(11/2/2021)

RR

Minnesota
(11/2/2021)

RR

Mississippi
(11/2/2021)

RR

Missouri
(11/2/2021)

RR

Montana
(11/2/2021)

RR

Nebraska
(11/2/2021)

RR

Nevada
(11/2/2021)

RR

New Hampshire
(11/2/2021)

RR

New Jersey
(11/2/2021)

RR

New Mexico
(11/2/2021)

RR

New York
(4/23/2019)

RR

North Carolina
(11/2/2021)

RR

North Dakota
(11/2/2021)

RR

Ohio
(11/2/2021)

RR

Oklahoma
(11/2/2021)

RR

Oregon
(11/2/2021)

RR

Pennsylvania
(11/2/2021)

RR

Puerto Rico
(11/2/2021)

RR

Rhode Island
(11/2/2021)

RR

South Carolina
(11/2/2021)

RR

South Dakota
(11/2/2021)

RR

Tennessee
(11/2/2021)

RR

Texas
(11/2/2021)

RR

Utah
(11/2/2021)

RR

Vermont
(11/2/2021)

RR

Virgin Islands
(11/2/2021)

RR

Virginia
(11/2/2021)

RR

Washington
(11/2/2021)

RR

West Virginia
(11/2/2021)

RR

Wisconsin
(11/2/2021)

RR

Wyoming
(11/2/2021)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2017About the Series 63 exam

Series 66 — Uniform Combined State Law Examination

Passed Dec 2011About the Series 66 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Apr 2022About the Series 52TO exam

Series 3 — National Commodity Futures Examination

Passed Feb 2019About the Series 3 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Dec 2017About the Series 86 exam

Series 79 — Investment Banking Registered Representative Examination

Passed Aug 2016About the Series 79 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Apr 2016About the Series 87 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2016

Series 7 — General Securities Representative Examination

Passed Sep 2015About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 2024About the Series 27 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 53 — Municipal Securities Principal Examination

Passed Mar 2022About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2016About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Oct 2015About the Series 24 exam

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Guanwu Ye's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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GY

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