Shenghao Yu

FRANKLIN DISTRIBUTORS

Philadelphia, PA 19103

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CRD#: 6838605

Professional summary

Shenghao Yu, who also goes by VInce Yu, Vincent Yu, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Philadelphia, Pennsylvania.

Shenghao is registered as a RR (Registered Representative) and started their career in finance in 2018. Shenghao has worked at 3 firms and has passed the Series 63, Series 87, Series 86, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vince Yu | Vincent Yu

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 Shenghao Yu'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

May 18, 2022 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 1735 Market Street Suite 1800, Philadelphia, PA 19103

CRD#: 109064

Philadelphia, PA

Past

September 19, 2018 - March 21, 2022

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

April 28, 2018 - September 19, 2018

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

State Registrations and Notice Filings

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

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

Pennsylvania
(5/18/2022)

Exams

State Security Law Exam

Series 63

Date: 11/30/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 2/19/2019

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 12/29/2018

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Shenghao Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shenghao Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEEDHAM & COMPANY, LLC

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/2018

Series 87

Date: 2/19/2019

Series 86

Date: 12/29/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/28/2018

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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