Guanwu Ye

US TIGER SECURITIES

New York, NY 10022

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CRD#: 5985247

Professional summary

Guanwu Ye, who also goes by Guan Wu Ye, Jack Ye, is a registered financial professional 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, SIE, Series 86, Series 79, Series 87, Series 55, Series 7, Series 27, Series 14, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Guan Wu Ye | Jack Ye

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 Guanwu Ye's CRS (Customer Relationship Summary).

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

April 23, 2019 - Present

US TIGER SECURITIES, INC.

Office #1: 437 Madison Ave 27th Floor, New York, NY 10022

CRD#: 120583

New York, NY

Current

July 29, 2019 - Present

TRADEUP SECURITIES, INC.

Office #1: 101 Eisenhower Parkway, Roseland, NJ 07068

CRD#: 18483

Roseland, NJ

Past

September 13, 2017 - April 30, 2019

CICC US SECURITIES, INC.

CRD#: 143221

NEW YORK, NY

Past

June 6, 2017 - August 25, 2017

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266

NEW YORK, NY

Past

June 28, 2016 - September 9, 2016

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266

New York, NY

Past

September 3, 2015 - August 25, 2017

CLSA AMERICAS, LLC

CRD#: 165533

NEW YORK, NY

Past

April 26, 2012 - May 18, 2012

ARISTON WEALTH MANAGEMENT, L.P.

RIA

CRD#: 158220

NEW YORK, NY

Past

January 25, 2012 - April 12, 2012

ARISTON WEALTH MANAGEMENT, L.P.

RIA

CRD#: 158220

NEW YORK, NY

Past

November 21, 2011 - May 18, 2012

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(11/2/2021)

Alaska
(11/2/2021)

Arizona
(11/2/2021)

Arkansas
(11/2/2021)

California
(11/2/2021)

Colorado
(11/2/2021)

Connecticut
(11/2/2021)

Delaware
(11/2/2021)

District of Columbia
(11/2/2021)

Florida
(10/2/2019)

Georgia
(11/2/2021)

Hawaii
(11/2/2021)

Idaho
(11/2/2021)

Illinois
(11/2/2021)

Indiana
(11/2/2021)

Iowa
(11/2/2021)

Kansas
(11/2/2021)

Kentucky
(11/2/2021)

Louisiana
(11/2/2021)

Maine
(11/2/2021)

Maryland
(11/2/2021)

Massachusetts
(11/2/2021)

Michigan
(11/2/2021)

Minnesota
(11/2/2021)

Mississippi
(11/2/2021)

Missouri
(11/2/2021)

Montana
(11/2/2021)

Nebraska
(11/2/2021)

Nevada
(11/2/2021)

New Hampshire
(11/2/2021)

New Jersey
(11/2/2021)

New Mexico
(11/2/2021)

New York
(4/23/2019)

North Carolina
(11/2/2021)

North Dakota
(11/2/2021)

Ohio
(11/2/2021)

Oklahoma
(11/2/2021)

Oregon
(11/2/2021)

Pennsylvania
(11/2/2021)

Puerto Rico
(11/2/2021)

Rhode Island
(11/2/2021)

South Carolina
(11/2/2021)

South Dakota
(11/2/2021)

Tennessee
(11/2/2021)

Texas
(11/2/2021)

Utah
(11/2/2021)

Vermont
(11/2/2021)

Virgin Islands
(11/2/2021)

Virginia
(11/2/2021)

Washington
(11/2/2021)

West Virginia
(11/2/2021)

Wisconsin
(11/2/2021)

Wyoming
(11/2/2021)

Exams

State Security Law Exam

Series 63

Date: 1/13/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/27/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 4/29/2022

Municipal Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/8/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 12/29/2017

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 79

Date: 8/19/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 4/27/2016

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 1/14/2016

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/3/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 2/29/2024

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 3/15/2022

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/11/2016

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/23/2015

General Securities Principal Examination

SRO Registrations

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

Current Firm

TRADEUP SECURITIES, INC.

MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: , 8-36754

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

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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

# of Employees

FINRA licenses (52 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	BOARD OF DIRECTOR	5248191
HUANG, LEI	CEO	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

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.

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Advisor Monitoring

Firm Stability Insights

Guanwu Ye

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

TRADEUP SECURITIES, INC.

CICC US SECURITIES, INC.

CITIC SECURITIES INTERNATIONAL USA, LLC

CITIC SECURITIES INTERNATIONAL USA, LLC

CLSA AMERICAS, LLC

ARISTON WEALTH MANAGEMENT, L.P.

ARISTON WEALTH MANAGEMENT, L.P.

WINDSOR STREET CAPITAL, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/2017

Series 66

Date: 12/27/2011

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 4/29/2022

Series 3

Date: 2/8/2019

SIE

Date: 10/1/2018

Series 86

Date: 12/29/2017

Series 79

Date: 8/19/2016

Series 87

Date: 4/27/2016

Series 55

Date: 1/14/2016

Series 7

Date: 9/3/2015

Series 27

Date: 2/29/2024

Series 14

Date: 1/2/2023

Series 53

Date: 3/15/2022

Series 4

Date: 3/11/2016

Series 24

Date: 10/23/2015

Cboe EDGX Exchange, Inc.

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

TRADEUP SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRADEUP SECURITIES, INC.

TRUST BUT VERIFY

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