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XC

Xiaoyi Cui

LMV CAPITAL
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 7324047
XC

Professional summary

Xiaoyi Cui, who also goes by Shawn Cui, is a registered financial professional currently at LMV CAPITAL CORP. located in New York, New York.

Xiaoyi is registered as a RR (Registered Representative) and started their career in finance in 2021. Xiaoyi has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawn Cui

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 Xiaoyi Cui'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®
None

Experience

Current

February 3, 2022 - Present

LMV CAPITAL CORP.

Office #1: 1460 Broadway Suite 4024, New York, NY 10036
BD
CRD#: 148745
NEW YORK, NY
Past

March 12, 2021 - January 12, 2022

TIGRESS FINANCIAL PARTNERS, LLC

BD
CRD#: 154717
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 York
(2/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/27/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/12/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/30/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LMV CAPITAL CORP.
LMV CAPITAL CORP.

CRD#: 148745 / SEC#: , 8-68061

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1460 Broadway Suite 4024, New York, NY 10036
Mailing Address
1460 Broadway Suite 4024, New York, NY 10036
Phone number
(212) 268-8500
Established
Delaware since 09/18/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LMV CAPITAL HOLDINGS CORP.OWNER
BURNAT, ROBERT MARKCHIEF FINANCIAL OFFICER, FINANCIAL AND OPERATIONS PRINCIPAL1262266
KLEIN, REFAEL MOSHEDIR.
KLEIN, ZEEV NOAMPRES. DIRECTOR, GSP, DIR. OF COMPLIANCE AND AML, CCO (09/2010)3232439

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

LMV CAPITAL CORP.

CRD#: 148745New York, NY 10036

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