Qingkun Xu

PROTA FINANCIAL

Houston, TX 77056-3845

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CRD#: 6211325

Professional summary

Qingkun Xu, who also goes by Jason Xu, is a registered financial advisor currently at PROTA FINANCIAL located in Houston, Texas.

Qingkun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Qingkun has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason Xu

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.

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: PROMETHEAN DESIGN & MARKETING POSITION: OWNER START DATE: 10/1/2013 ADDRESS: 2851 Sugar Land TX DETAILS: NON-INVESTMENT RELATED ADVERTISING AND GRAPHIC DESIGN BUSINESS. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 30 HOURS PER MONTH HOURS DURING TRADING: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Qingkun Xu'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

December 9, 2022 - Present

PROTA FINANCIAL

Office #1: 1980 Post Oak Blvd Suite 100, Houston, TX 77056-3845

RIA

CRD#: 283776

Houston, TX

Past

April 29, 2019 - November 27, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

KATY, TX

Past

November 15, 2013 - December 31, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROTA FINANCIAL

PROTA | PROTA FINANCIAL, LLC | PROTA FINANCIAL

CRD#: 283776 / SEC#: 801-125895

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/5/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 4/29/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 2/27/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2013

General Securities Representative Examination

Current Firm

PROTA FINANCIAL

PROTA | PROTA FINANCIAL, LLC | PROTA FINANCIAL

CRD#: 283776 / SEC#: 801-125895

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/30/2022 Terminated)

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Contact information

Main Address

1980 Post Oak Blvd Suite 100, Houston, TX 77056-3845

Mailing Address

Phone number

(713) 568-8171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROTA ADV PART 2 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,643
AUM (Assets Under Management)	$ 233,673,316

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

Qingkun Xu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Qingkun Xu's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

PROTA FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/2022

Series 63

Date: 4/10/2019

Series 6TO

Date: 4/29/2019

SIE

Date: 2/27/2019

Series 7

Date: 11/15/2013

Current Firm

PROTA FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROTA FINANCIAL

TRUST BUT VERIFY

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