Xiuhua Xu
Professional summary
Xiuhua Xu, who also goes by Sylvia Xu, is a registered financial advisor currently at BAKERAVENUE located in San Francisco, California.
Xiuhua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Xiuhua has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Xiuhua Xu's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2019 - Present
BAKERAVENUE
Office #1: One Embarcadero Center Ste 2530, San Francisco, CA 94111April 18, 2016 - December 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2016 - December 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2012 - February 26, 2016
SCOTTRADE, INC.
Primary Firm SEC Registration
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/22/2019)
Exams
Current Firm
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,138 |
| AUM (Assets Under Management) | $ 3,771,014,366 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/05/2025 | ||
| 08/28/2024 | ||
| 04/02/2024 | ||
| 03/14/2023 |
Red Flags
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