Jiayue Gao
Professional summary
Jiayue Gao, who also goes by Alice Gao, is a registered financial professional currently at DC ADVISORY located in New York, New York.
Jiayue is registered as a RR (Registered Representative) and started their career in finance in 2022. Jiayue 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 Jiayue Gao's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2023 - Present
DC ADVISORY
Office #1: 605 Third Avenue 11th Floor, New York, NY 10158August 29, 2022 - August 30, 2023
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/15/2023)
Exams
Series 79TO
Date: 8/29/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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.
