Qun X. Xu
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.
Qun Xiao Xu, who also goes by Qun XIao Del'homme-xu, Qun Xu, was a registered financial professional .
Qun is a previously registered financial professional and started their career in finance in 2018. Qun had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2022 - May 16, 2023
FINALIS SECURITIES LLC
May 19, 2022 - June 8, 2022
IOI CAPITAL AND MARKETS, LLC
October 16, 2018 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2018 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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