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YX

Yang Xu

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CRD#: 6316689
YX

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Yang Xu was a registered financial professional .

Yang is a previously registered financial professional and started their career in finance in 2014. Yang had worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3 and Series 24 exams.

top-8-questions

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.
1.) Wealthnn LLC; Newtown Square, PA; investment related; started 11/25/2017; Registered Investment Advisor; CEO; CEO of Wealthn LLC d/b/a UP Fintech Asset Management. Overseeing the firm; portfolio and fund management; investment research; 150 hours per month with 8 hours during securities trading hours. 2.) UP Fintech Holding Limited (Tiger Brokers); Beijing, China; not investment related; started 03/01/2018; online brokerage; partner; I report to the CEO/CFO of UP Fintech Holding Limited regarding the RIA business. I attend conferences on behalf of the UP Fintech Holding Limited from time to time; 50 hours per month with 0 hours during securities trading hours. 3) Flying Nebulon Holdings Limited; Road Town, Tortola, British Virgin Islands; Non-Investment Related; Holding Company; Director; Start 5/2021; 5hrs per month with 0 during trading hours 3.) TradingFront; Newtown Square, PA; not investment related; started 10/01/2019; Software as a Service; CEO; make business decisions, expend business, lead and work with senior executives; 150 hours per month with 8 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2020 - July 14, 2021

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
Newton Square, PA
Past

November 25, 2017 - December 31, 2024

UP FINTECH ASSET MANAGEMENT

RIA
CRD#: 285915
Newtown Square, PA
Past

July 1, 2014 - October 17, 2018

ALPHA ARCHITECT

RIA
CRD#: 153905
BROOMALL, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/1/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/30/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/22/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/29/2017
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/11/2020
General Securities Principal Examination

Current Firm

QD
QUASAR DISTRIBUTORS, LLC
QUASAR DISTRIBUTORS, LLC

CRD#: 103848 / SEC#: , 8-52323

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/21/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

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