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Detailed Report
YANHUA XU
EVA XU
CRD#: 6712443
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
13211 Jamboree Road
Tustin, CA 92782
Registration History
201620172018201920202021202220232024202520262 FIRMS2022 - Present (2 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2017 - 2022 (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2018 - 2022 (4 years)
License(s)

State Registrations

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Arizona 3/27/2024
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California 8/29/2022
B
California 8/29/2022
B
Washington 12/1/2023

SRO Registrations

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 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
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 Nasdaq Stock Market
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 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 13211 Jamboree Road, Tustin, CA 92782
Whittier, CA
Registered with this firm since 8/29/2022
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 13211 Jamboree Road, Tustin, CA 92782
Whittier, CA
Registered with this firm since 8/29/2022
Previous Registration(s)
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 02/01/2018 - 08/23/2022 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) SAM MARINO, CA
B
 01/01/2017 - 08/23/2022 CETERA INVESTMENT SERVICES LLC (CRD#:15340) MONTEREY PARK, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.