Yang Xu

UP FINTECH ASSET MANAGEMENT

Newtown Square, PA 19073

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CRD#: 6316689

Professional summary

Yang Xu is a registered financial advisor currently at UP FINTECH ASSET MANAGEMENT located in Newtown Square, Pennsylvania.

Yang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Yang has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yang 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

April 8, 2026 - Present

UP FINTECH ASSET MANAGEMENT

Office #1: 18 Campus Boulevard Suite 100, Newtown Square, PA 19073

RIA

CRD#: 285915

Newtown Square, PA

Past

September 30, 2020 - July 14, 2021

QUASAR DISTRIBUTORS, LLC

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

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".

UP FINTECH ASSET MANAGEMENT

TIGERSHARES | WEALTHN LLC | WEALTHN | UP FINTECH ASSET MANAGEMENT

CRD#: 285915 / SEC#: 801-114105

RIA

Registered Investment Advisory firm - (10/8/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/25/2018 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

Pennsylvania
(4/8/2026)

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

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

Series 7TO

Date: 9/30/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/22/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/29/2017

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 11/11/2020

General Securities Principal Examination

Current Firm

UP FINTECH ASSET MANAGEMENT

TIGERSHARES | WEALTHN LLC | WEALTHN | UP FINTECH ASSET MANAGEMENT

CRD#: 285915 / SEC#: 801-114105

RIA

Registered Investment Advisory firm - (10/8/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/25/2018 Terminated)

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Contact information

Main Address

18 Campus Boulevard Suite 100, Newtown Square, PA 19073

Mailing Address

Phone number

(480) 631-4700

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UP FINTECH ASSET MANAGEMENT FORM ADV PART 2A 033025 (3/29/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 1,100,000

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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Yang Xu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

UP FINTECH ASSET MANAGEMENT

QUASAR DISTRIBUTORS, LLC

UP FINTECH ASSET MANAGEMENT

ALPHA ARCHITECT

Primary Firm SEC Registration

UP FINTECH ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/2020

Series 65

Date: 7/1/2014

Series 7TO

Date: 9/30/2020

SIE

Date: 2/22/2020

Series 3

Date: 12/29/2017

Series 24

Date: 11/11/2020

Current Firm

UP FINTECH ASSET MANAGEMENT

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UP FINTECH ASSET MANAGEMENT

TRUST BUT VERIFY

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