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XD

Xiaolei Dong

EUREKA CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 6266310
XD

Professional summary

Xiaolei Dong is a registered financial professional currently at EUREKA CAPITAL MARKETS, LLC located in New York, New York.

Xiaolei is registered as a RR (Registered Representative) and started their career in finance in 2013. Xiaolei has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Xiaolei Dong'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®
None

Experience

Current

December 16, 2013 - Present

EUREKA CAPITAL MARKETS, LLC

Office #1: 52 Vanderbilt Ave Suite 902, New York, NY 10017
BD
CRD#: 116873
New York, NY

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/27/2014)
RR
New York
(1/27/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/16/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EUREKA CAPITAL MARKETS, LLC
EUREKA CAPITAL | EUREKA CAPITAL MARKETS, LLC

CRD#: 116873 / SEC#: , 8-53569

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
52 Vanderbilt Avenue Suite 902, New York, NY 10017
Mailing Address
52 Vanderbilt Avenue Suite 902, New York, NY 10017
Phone number
(646) 277-8420
Established
Delaware since 05/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EUREKA CAPITAL PARTNERS LLCMANAGING MEMBER
ALTMAN, BRUCE SMANAGING DIRECTOR AND CCO1802688
FELDMAN, LESLIE HOPEMANAGING DIRECTOR2017877
HYMAN, MARKMANAGING DIRECTOR
SIMKINA, SVETLANA EDUARDOVNAMANAGING DIRECTOR & FINOP4164965

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.

Company Information

EUREKA CAPITAL MARKETS, LLC

CRD#: 116873New York, NY 10017

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