Yanjie Liu
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.
Yanjie Liu was a registered financial professional .
Yanjie is a previously registered financial professional and started their career in finance in 2014. Yanjie had worked at 3 firms and has passed the Series 57TO, SIE, Series 56 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - August 10, 2021
DV EQUITIES
June 17, 2020 - August 10, 2021
DV SECURITIES, LLC
August 4, 2014 - May 8, 2020
RONIN CAPITAL, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 8/3/2014
Proprietary Trader Qualification ExaminationCurrent Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
Documents
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.
