YW
Yiyun Wu
BARCLAYS CAPITAL
NEW YORK, NY 10019
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CRD#: 6871033
YW
Yiyun WuBARCLAYS CAPITAL
Professional summary
Yiyun Wu, who also goes by Miley Wu, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in New York, New York and NOMURA SECURITIES INTERNATIONAL, INC. located in New York, New York.
Yiyun is registered as a RR (Registered Representative) and started their career in finance in 2022. Yiyun has worked at 2 firms and has passed the Series 63, Series 3, Series 57TO, Series 7TO, SIE and Series 24 exams.
Aliases
Miley Wu
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.
CRS (Client Relationship Summary) - BD
Click below to view Yiyun Wu's 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®
NoneExperience
Current
February 4, 2022 - Present
BARCLAYS CAPITAL INC.
Office #1: 745 7th Avenue, New York, NY 10019BD
CRD#: 19714
NEW YORK, NY
Current
July 6, 2026 - Present
NOMURA SECURITIES INTERNATIONAL, INC.
Office #1: Worldwide Plaza 309 West 49th Street, New York, NY 10019RIA
BD
CRD#: 4297
NEW YORK, NY
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".
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(2/14/2022)
RR
Alaska(2/14/2022)
RR
Arizona(2/14/2022)
RR
Arkansas(2/14/2022)
RR
California(2/14/2022)
RR
Colorado(2/14/2022)
RR
Connecticut(2/14/2022)
RR
Delaware(2/14/2022)
RR
District of Columbia(2/14/2022)
RR
Florida(2/14/2022)
RR
Georgia(2/14/2022)
RR
Hawaii(2/14/2022)
RR
Idaho(2/14/2022)
RR
Illinois(2/14/2022)
RR
Indiana(2/14/2022)
RR
Iowa(2/14/2022)
RR
Kansas(2/14/2022)
RR
Kentucky(2/14/2022)
RR
Louisiana(2/14/2022)
RR
Maine(2/14/2022)
RR
Maryland(2/14/2022)
RR
Massachusetts(2/14/2022)
RR
Michigan(2/14/2022)
RR
Minnesota(2/14/2022)
RR
Mississippi(2/14/2022)
RR
Missouri(2/14/2022)
RR
Montana(2/14/2022)
RR
Nebraska(2/14/2022)
RR
Nevada(2/14/2022)
RR
New Hampshire(2/14/2022)
RR
New Jersey(2/14/2022)
RR
New Mexico(2/14/2022)
RR
New York(2/11/2022)
RR
North Carolina(2/14/2022)
RR
North Dakota(2/14/2022)
RR
Ohio(2/14/2022)
RR
Oklahoma(2/14/2022)
RR
Oregon(2/14/2022)
RR
Pennsylvania(2/14/2022)
RR
Puerto Rico(2/14/2022)
RR
Rhode Island(2/14/2022)
RR
South Carolina(2/14/2022)
RR
South Dakota(2/14/2022)
RR
Tennessee(2/14/2022)
RR
Texas(2/14/2022)
RR
Utah(2/14/2022)
RR
Vermont(2/14/2022)
RR
Virgin Islands(2/14/2022)
RR
Virginia(2/14/2022)
RR
Washington(2/14/2022)
RR
West Virginia(2/14/2022)
RR
Wisconsin(2/14/2022)
RR
Wyoming(2/14/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 2/22/2022
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/4/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
SRO Registrations
RR
Texas Stock Exchange LLC
Current Firm
NOMURA SECURITIES INTERNATIONAL, INC.
NOMURA SECURITIES INTERNATIONAL INC | NOMURA SECURITIES INTERNATIONAL, INC.
CRD#: 4297 / SEC#: 801-72991, 8-15255
RIA
Registered Investment Advisory firm - SEC (4/3/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Worldwide Plaza 309 West 49th Street 309 West 49th Street, New York, NY, 10019-7316
Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Phone number
(212) 667-9000
Established
New York since 09/12/1969
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees
11
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDING AMERICA, INC. | SHAREHOLDER | |
| ALOUPIS, STEVEN NICHOLAS | CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR | 2498339 |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR | 2976702 |
| DUMARK, GREGORY JAMES | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | 5593904 |
| GIANCARLO, JAMES CHRISTOPHER | BOARD OF DIRECTORS | 7414068 |
| HUGHES, WILLIAM FRANCIS JR | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR | 1666328 |
| KAWAMURA, SATOSHI | EXECUTIVE CHAIRMAN OF BOARD | 7533044 |
| PRIMIANO, VINCENT ANTHONY | CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR | 2123603 |
| WEBB, FARON ROSS | CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR | 2452057 |
Disclosures
| Regulatory Event | 83 |
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.
