XD
Xiaowei Du
LIGHT HORSE SECURITIES,
New York, NY 10001
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CRD#: 7310115
XD
Professional summary
Xiaowei Du is a registered financial professional currently at LIGHT HORSE SECURITIES, INC located in New York, New York.
Xiaowei is registered as a RR (Registered Representative) and started their career in finance in 2020. Xiaowei has worked at 1 firm and has passed the Series 27 exam.
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.
CRS (Client Relationship Summary) - BD
Click below to view Xiaowei Du'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®
NoneExperience
Current
December 7, 2020 - Present
LIGHT HORSE SECURITIES, INC
Office #1: 330 7th Ave Suite 902, New York, NY 10001BD
CRD#: 120242
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LH
LIGHT HORSE SECURITIES, INC
AINVEST FINANCIAL, INC. | LIGHT HORSE SECURITIES, INC | LIGHT HORSE MARKET SOLUTIONS, INC, | LIGHT HORSE MARKET SOLUTIONS INC | B&T ASSET MANAGEMENT | B & T SECURITIES, INC.
CRD#: 120242 / SEC#: , 8-65270
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
330 7th Ave Suite 902, New York, NY 10001
Mailing Address
330 7th Ave Suite 902, New York, NY 10001
Phone number
(646) 330-4718
Established
Florida since 01/11/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
