Yu He
Professional summary
Yu He, who also goes by Arthur He, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Yu is registered as a RR (Registered Representative) and started their career in finance in 2018. Yu has worked at 3 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yu He's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2019 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022June 11, 2018 - May 29, 2019
CANTOR FITZGERALD & CO.
February 2, 2018 - June 4, 2018
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/22/2024)
(7/2/2019)
Exams
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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