Avory L. Xu
Professional summary
Avory Lauren Xu, who also goes by Avory Xu, is a registered financial professional currently at NABSECURITIES, LLC located in New York, New York.
Avory is registered as a RR (Registered Representative) and started their career in finance in 2022. Avory has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Avory Lauren Xu's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 13, 2024 - Present
NABSECURITIES, LLC
Office #1: 277 Park Avenue 19th Floor, New York, NY, 10172Office #2: 277 Park Avenue 19th Floor, New York, NY 10172August 8, 2022 - October 12, 2023
MIZUHO SECURITIES USA 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
(6/13/2024)
Exams
Series 79TO
Date: 8/8/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
Red Flags
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