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YC

Yuwei Cao

CGS INTERNATIONAL SECURITIES USA
New York, NY 10018
Some features on this profile are disabled
CRD#: 7484717
YC

Professional summary

Yuwei Cao is a registered financial professional currently at CGS INTERNATIONAL SECURITIES USA, INC. located in New York, New York.

Yuwei is registered as a RR (Registered Representative) and started their career in finance in 2022. Yuwei has worked at 1 firm and has passed the Series 63, Series 7TO 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) - BD

Click below to view Yuwei Cao'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

April 4, 2022 - Present

CGS INTERNATIONAL SECURITIES USA, INC.

Office #1: 104 West 40th Street Suite 1810, New York, NY 10018
BD
CRD#: 141892
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
(4/4/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/4/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/20/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CGS INTERNATIONAL SECURITIES USA, INC.
CGS - CIMB SECURITIES (USA), INC. | CIMB-GK SECURITIES (USA), INC. | CIMB SECURITIES (USA), INC. | CGS INTERNATIONAL SECURITIES USA, INC.

CRD#: 141892 / SEC#: , 8-67414

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

Main Address
104 West 40th Street Suite 1810, New York, NY 10018
Mailing Address
104 West 40th Street Suite 1810, New York, NY 10018
Phone number
(212) 616-8600
Established
Delaware since 03/28/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CGS INTERNATIONAL SECURITIES PTE. LTD.STOCKHOLDER
CHIN-LUK, HELEN JADESENIOR VP, FINOP, CCO, CEO2292149

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

CGS INTERNATIONAL SECURITIES USA, INC.

CRD#: 141892New York, NY 10018

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