YD
Yan-ni Du
MAVEN GLOBAL MARKETS TRADING LLP
London, EC2M 3TQ
Some features on this profile are disabled
CRD#: 7848440
YD
Professional summary
Yan-ni Du is a registered financial professional currently at MAVEN GLOBAL MARKETS TRADING LLP .
Yan-ni is registered as a RR (Registered Representative) and started their career in finance in 2024. Yan-ni has worked at 1 firm and has passed the Series 57TO and SIE exams.
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 Yan-ni Du'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
January 19, 2024 - Present
MAVEN GLOBAL MARKETS TRADING LLP
Office #1: 155 Bishopgate Level 7, London, EC2M 3TQBD
CRD#: 317195
London,
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
General Industry/Product Exam
RR
Series 57TO
Date: 1/19/2024
Securities Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
Current Firm
MG
MAVEN GLOBAL MARKETS TRADING LLP
MAVEN GLOBAL MARKETS TRADING LLP
CRD#: 317195 / SEC#: , 8-70825
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
444 W Lake St Ste. 4650, Chicago, IL 60606
Mailing Address
444 W Lake St Ste. 4650, Chicago, IL 60606
Phone number
+1 (312) 216-0272
Established
Firm type
Partnership
Fiscal year end
June
Firm Size
Small
# of Employees
Documents
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.
