Yongjie Fan

9D CAPITAL LLC

Fairfax, VA

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CRD#: 7654488

Professional summary

Yongjie Fan, who also goes by James Callahan, Kevin Fan, is a registered financial advisor currently at 9D CAPITAL LLC located in Fairfax, Virginia and 5D PARTNERS LLC located in New York, New York.

Yongjie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Yongjie has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, Series 82TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Callahan | Kevin Fan

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.

Amazon, Retail operations, Associate, Not investment-related 120 hours/month (Fairfax, VA - From 02/2023 to present) 0 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yongjie Fan'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

July 18, 2023 - Present

9D CAPITAL LLC

RIA

CRD#: 308524

Fairfax, VA

Current

July 28, 2023 - Present

5D PARTNERS LLC

Office #1: 535 Fifth Ave 4th Floor, New York, NY 10017

CRD#: 308304

New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(5/11/2025)

IAR

New York
(7/18/2023)

New York
(9/20/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/20/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/10/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 10/19/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 82TO

Date: 7/28/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 8/8/2020

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 9/7/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

9D CAPITAL LLC

9D CAPITAL | THE BANK OF SPORTS | THE BANK OF ARTS | 9D CAPITAL LLC

CRD#: 308524 / SEC#:

New York

Registered Investment Advisory firm - (4/9/2020 Approved)

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Contact information

Main Address

244 5th Ave Ste 1211, New York, NY 10001

Mailing Address

Phone number

(212) 852-0242

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 9,642,601

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.

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Firm Stability Insights

Yongjie Fan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yongjie Fan's CRS (Customer Relationship Summary).

Certified licenses

Experience

5D PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2023

Series 65

Date: 8/10/2021

Series 79TO

Date: 10/19/2023

Series 82TO

Date: 7/28/2023

SIE

Date: 8/8/2020

Series 24

Date: 9/7/2023

FINRA

Current Firm

9D CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

9D CAPITAL LLC

TRUST BUT VERIFY

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