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CRD#: 16843
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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

FIRSTRADE SECURITIES INC. is located at 30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354 and was first established at Long Island, Delaware in 06/08/2000. After operating for 25 years, FIRSTRADE SECURITIES INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FIRSTRADE SECURITIES INC.’s clients are individuals and 0% of their clients are high net worth individuals. FIRSTRADE SECURITIES INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FIRSTRADE SECURITIES INC. are registered to handle securities or provide financial advice. The firm has 9 disclosures, 7 being regulatory events, 0 being client events, and 2 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FIRSTRADE SECURITIES INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FIRSTRADE SECURITIES INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for FIRSTRADE SECURITIES INC. Comes From

Understanding the Statistics for FIRSTRADE SECURITIES INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
7
Arbitration
2

FIRM INFORMATION

Main Address
30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354
Mailing Address
30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354
Firm Size
Small
Phone Number
(718) 269-1565
Established
Delaware since 06/08/2000
Firm Type
Corporation
Fiscal year end
June
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
FIRSTRADE HOLDING CORPORATIONPARENT COMPANY
KU, JULIE LI-YUENSECRETARY1939433
LIU, JOHNCEO/CHAIRMAN/FINOP/ROSFP712988
RYAN, KIMBERLY ANNCHIEF COMPLIANCE OFFICER4316310

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at FIRSTRADE SECURITIES INC.

JW

Jimmy Jinn Chuan Wang

James Wang
RR
CRD#: 1861017
Location:
Flushing, NY 11354
Company:
FIRSTRADE SECURITIES INC.
Disclosures:
Experience:
37 years
View Profile
JK

Julie Li-yuen Ku

Julie Ku, Li Yuen Ku, Liyuen Ku
RR
CRD#: 1939433
Location:
Orlando, FL 32817
Company:
FIRSTRADE SECURITIES INC.
Disclosures:
Experience:
33 years
View Profile
KB

Kristina Lynn Bartscht

Kristina L Font, Kris Mackowiak, Kristina Lynn Mackowiak
RR
CRD#: 2211788
Location:
Largo, FL
Company:
STRATCAP SECURITIES, LLC
Disclosures:
Experience:
30 years
View Profile
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