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Yinan Yu
ULLICO INVESTMENT COMPANY
Silver Spring, MD 20910
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CRD#: 7787306
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Professional summary
Yinan Yu is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Silver Spring, Maryland.
Yinan is registered as a RR (Registered Representative) and started their career in finance in 2023. Yinan has worked at 1 firm and has passed the Series 27 exam.
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.
CRS (Client Relationship Summary) - BD
Click below to view Yinan Yu'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®
NoneExperience
Current
December 1, 2023 - Present
ULLICO INVESTMENT COMPANY, LLC
Office #1: 8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910BD
CRD#: 135195
Silver Spring, MD
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
Maryland(12/1/2023)
Exams
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UI
ULLICO INVESTMENT COMPANY, LLC
ULLICO INVESTMENT COMPANY, INC. | ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195 / SEC#: , 8-66906
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910
Mailing Address
8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910
Phone number
(202) 682-0900
Established
Maryland since 07/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULLICO INC. | SOLE SHAREHOLDER | |
| HUMPHREY, CATHY ANN | CHIEF OPERATIONS OFFICER | 4899999 |
| HUMPHREY, CATHY ANN | DIRECTOR | 4899999 |
| LAROCQUE, RICHARD FRANCIS | CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC | 2874559 |
| LINEHAN, JOSEPH RICHARD | GEN. SEC. PRINC.; AND PRESIDENT | 4951041 |
| LINEHAN, JOSEPH RICHARD | DIRECTOR | |
| YU, YINAN | CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR | 7787306 |
Red Flags
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