Yusheng Luo
Professional summary
Yusheng Luo, who also goes by Yusheng Shane Luo, is a registered financial professional currently at MOELIS & COMPANY LLC located in San Francisco, California.
Yusheng is registered as a RR (Registered Representative) and started their career in finance in 2018. Yusheng has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yusheng Luo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2021 - Present
MOELIS & COMPANY LLC
Office #1: One Maritime Plaza 25th Floor, San Francisco, CA 94111February 12, 2020 - March 17, 2021
RBC CAPITAL MARKETS, LLC
August 13, 2018 - January 31, 2020
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/15/2021)
Exams
Series 7TO
Date: 3/11/2022
General Securities Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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