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XC

Xinyi Chu

CATHAY SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 8031160
XC

Professional summary

Xinyi Chu, who also goes by XInyi Na Chu, is a registered financial professional currently at CATHAY SECURITIES, INC. located in New York, New York.

Xinyi is registered as a RR (Registered Representative) and started their career in finance in 2025. Xinyi has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Xinyi Na Chu

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 Xinyi Chu's CRS (Customer Relationship Summary).
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

February 25, 2025 - Present

CATHAY SECURITIES, INC.

Office #1: 40 Wall Street Suite 3600, New York, NY 10005
BD
CRD#: 21821
New York, NY

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

State Security Law Exam
RR
Series 63
Date: 8/2/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/28/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/25/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/14/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CS
CATHAY SECURITIES, INC.
CATHAY SECURITIES, INC.

CRD#: 21821 / SEC#: , 8-39247

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

Main Address
40 Wall Street Suite 3600, New York, NY 10005
Mailing Address
40 Wall Street Suite 3600, New York, NY 10005
Phone number
(212) 285-2261
Established
New York since 11/02/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CATHAY CAPITAL MANAGEMENT INC.SHAREHOLDER
LI, XIAOYU NMNCEO, FINROP, GP, SHAREHOLDER7546684
LIU, CHUN NMNSHAREHOLDER7473085
SUNPLUSWEN INTERNATIONAL HOLDINGS LIMITEDSHAREHOLDER
ZOU, YUE NMNSHAREHOLDER7528367
ZAGOTTI, MARK ANTONIOCCO, SROP, CROP, GP2534369

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

CATHAY SECURITIES, INC.

CRD#: 21821New York, NY 10005

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