Qian Yu
Professional Summary
Qian Yu is a registered financial advisor currently at HRT FINANCIAL LP and HRT EXECUTION SERVICES LLC located in New York, New York. Qian is registered as a RR (Registered Representative) and started their career in finance in 2019. Qian has worked at 2 firms and has passed the Series 57TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
Years of Experience
7 years in the financial services industry
Current & Past Employments
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
Current Firm
HRT EXECUTION SERVICES LLC | SUN TRADING LLC
Contact Information
Main Address
3 World Trade Center 175 Greenwich St 76th Floor, New York, NY, 10007Mailing Address
3 World Trade Center 175 Greenwich St 76th Floor, New York, NY, 10007Phone Number
(212) 293-1444Established
Illinois since 04/24/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN HOLDINGS LLC | OWNER OF HRT EXECUTION SERVICES LLC | — |
| ALCALA, MIKAELA | AML COMPLIANCE OFFICER | 7523021 |
| BLOCK, NACHSHON M | CHIEF FINANCIAL OFFICER | 7192815 |
| CARROLL, JASON EASTWICK | MANAGING MEMBER | 5173598 |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KEEL, JOHN MATTHEW | CHIEF COMPLIANCE OFFICER | 4189740 |
| MAHONEY, JOSEPH | HEAD OF SALES | 5030145 |
| NUNES, ADAM SETH | CHIEF EXECUTIVE OFFICER | 5246806 |
| O'DONNELL, PAUL ANTHONY | CHIEF OPERATING OFFICER | 4493148 |
Disclosures
Regulatory Event
9Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
CRS (Client Relationship Summary) - BD
Click below to view Qian Yu's CRS (Customer Relationship Summary).
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
THIRD LINE FINANCIAL PLANNING
THE DALA GROUP, LLC
JANNEY MONTGOMERY SCOTT LLC
