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Xiaofeng Xuan

IRC SECURITIES LLC
New York, NY 10170
Some features on this profile are disabled
CRD#: 6903951
XX

Professional summary

Xiaofeng Xuan, who also goes by Ken Xuan, is a registered financial professional currently at IRC SECURITIES LLC located in New York, New York.

Xiaofeng is registered as a RR (Registered Representative) and started their career in finance in 2018. Xiaofeng has worked at 1 firm and has passed the Series 63, SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Xuan

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 Xiaofeng Xuan'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®
None

Experience

Current

February 5, 2018 - Present

IRC SECURITIES LLC

Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170
BD
CRD#: 150022
New York, NY

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
New York
(5/9/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 5/14/2018
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 2/5/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IS
IRC SECURITIES LLC
INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC | IRC SECURITIES LLC

CRD#: 150022 / SEC#: , 8-68208

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
420 Lexington Avenue Suite 300, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 300, New York, NY 10170
Phone number
(646) 355-0940
Established
Delaware since 06/30/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INVESTMENT RESEARCH CONSORTIUM100% OWNER
COOPER, NANCY JOANFINANCIAL OPERATIONS PRINCIPAL4029120
O'DAY, BRIAN THOMASCEO/PRESIDENT/CCO1331173

Disclosures

Regulatory Event1

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.

Company Information

IRC SECURITIES LLC

CRD#: 150022New York, NY 10170

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