Tianyu Ye
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.
Tianyu Ye, who also goes by Tim Ye, was a registered financial professional .
Tianyu is a previously registered financial professional and started their career in finance in 2015. Tianyu had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2021 - February 8, 2024
FUTU WEALTH ADVISORS, INC.
July 16, 2021 - February 21, 2024
MOOMOO FINANCIAL INC.
February 23, 2021 - July 23, 2021
UBS FINANCIAL SERVICES INC.
February 23, 2021 - July 23, 2021
UBS FINANCIAL SERVICES INC.
February 27, 2018 - February 2, 2021
TD AMERITRADE, INC.
February 26, 2018 - February 2, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - February 2, 2021
TD AMERITRADE, INC.
February 16, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
June 23, 2015 - February 26, 2018
SCOTTRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FUTU WEALTH ADVISORS, INC.
CRD#: 310790 / SEC#: 801-119635
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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