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YG

Yuyang Gu

Some features on this profile are disabled
CRD#: 7416863
YG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Yuyang Gu was a registered financial professional .

Yuyang is a previously registered financial professional and started their career in finance in 2021. Yuyang had worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 2022 - December 1, 2022

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

October 1, 2021 - August 1, 2022

BOFA SECURITIES, INC.

BD
CRD#: 283942
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

State Security Law Exam
RR
Series 63
Date: 9/17/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/1/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/8/2021
Securities Industry Essentials Examination

Current Firm

AG
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
ALLIANZ GLOBAL INVESTORS | THOMSON MCKINNON FUND DISTRIBUTORS INC. | THOMSON INVESTOR SERVICES INC. | PIMCO FUNDS DISTRIBUTORS LLC | PIMCO FUNDS DISTRIBUTION COMPANY | PIMCO ADVISORS DISTRIBUTORS LLC | PIMCO ADVISORS DISTRIBUTION COMPANY | PA DISTRIBUTORS LLC | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567 / SEC#: , 8-41811

BD
Terminated by SEC on 03/01/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/20/1997
Firm type
Limited Liability Company
Fiscal year end
December
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#
ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLCSOLE MEMBER
GHANI, VISHANFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7190513
OCHOCO, JONATHAN GUERREROCHIEF COMPLIANCE OFFICER6850835

Disclosures

Regulatory Event2
Civil Event2

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

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

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