Jiayi Xu

GLOBAL WEALTH HARBOR

Walnut Creek, CA

Some features on this profile are disabled

CRD#: 6248687

Professional summary

Jiayi Xu, CFP® is a registered financial advisor currently at GLOBAL WEALTH HARBOR located in Walnut Creek, California.

Jiayi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Jiayi has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Jiayi Xu is a Part-Time Manager at NT Industrial Automation System LLC; Investment Related: No; Location: 1255 Treat Blvd , Suite 300 Walnut Creek CA 94597; Description of the business: The U.S. branch of family's machine tool business; Responsibilities Duties: Managing the operations of the business; Start date with business: 2024-10-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours:15 ; Percentage of total yearly compensation expected to be derived from the business: 10.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jiayi Xu's 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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

August 31, 2021 - Present

GLOBAL WEALTH HARBOR

RIA

CRD#: 315907

Walnut Creek, CA

Past

January 7, 2016 - March 21, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

NEW YORK, NY

Past

October 6, 2015 - March 21, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

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

California
(8/31/2021)

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: 8/27/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/9/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/2015

General Securities Representative Examination

Current Firm

GLOBAL WEALTH HARBOR

GLOBAL WEALTH HARBOR | GLOBAL WEALTH HARBOR LLC

CRD#: 315907 / SEC#:

California

Registered Investment Advisory firm - (8/31/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Danville, CA

Mailing Address

Phone number

(347) 924-5136

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 4,025,555

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jiayi Xu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GLOBAL WEALTH HARBOR

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2021

Series 66

Date: 11/9/2015

SIE

Date: 3/21/2016

Series 7

Date: 10/5/2015

Current Firm

GLOBAL WEALTH HARBOR

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLOBAL WEALTH HARBOR

TRUST BUT VERIFY

Similar Advisors