Shijie Xue
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.
Shijie Xue, who also goes by Keith Xue, was a registered financial professional .
Shijie is a previously registered financial professional and started their career in finance in 2017. Shijie had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - January 5, 2021
CODE ADVISORS LLC
November 27, 2017 - January 16, 2019
HOULIHAN LOKEY CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CODE ADVISORS LLC
CRD#: 153192 / SEC#: , 8-68511
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.
