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YF

Yawen Fan

ROBINHOOD SECURITIES
New York, NY 10014
Some features on this profile are disabled
CRD#: 7291728
YF

Professional summary

Yawen Fan is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in New York, New York and ROBINHOOD FINANCIAL, LLC located in New York, New York.

Yawen is registered as a RR (Registered Representative) and started their career in finance in 2020. Yawen has worked at 4 firms and has passed the Series 63, Series 3, Series 57TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Yawen Fan's CRS (Customer Relationship Summary).
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

May 1, 2026 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 413 West 14th Street 3rd And 4th Floor, New York, NY 10014
BD
CRD#: 287900
New York, NY
Current

May 1, 2026 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 413 West 14th Street 3rd And 4th Floor, New York, NY 10014
BD
CRD#: 165998
New York, NY
Past

May 12, 2023 - February 10, 2026

JANE STREET EXECUTION SERVICES, LLC

BD
CRD#: 167280
New York, NY
Past

December 2, 2020 - February 10, 2026

JANE STREET CAPITAL, LLC

BD
CRD#: 103782
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 Jersey
(5/1/2026)
RR
New York
(5/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/10/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/8/2021
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/2/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/17/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA

Current Firm

RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
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Contact information

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBINHOOD MARKETS, INC100% OWNER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANPRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP3103432
KOLLER, WALTERCHIEF OPERATING OFFICER1932260
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event56
Arbitration7

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

ROBINHOOD FINANCIAL, LLC

CRD#: 165998New York, NY 10014

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