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Cliff G Xu

Edward Jones

Elk Grove, CA

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-10
CA RA APPROVED 2024-07-01
  • TX RA
    APPROVED
    Since 2024-10-10
  • CA RA
    APPROVED
    Since 2024-07-01

Branch Locations

9245 Laguna Springs Dr Suite 115, Elk Grove, CA 95758 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bbva Securities Inc Redwood City CA 10/2017 10/2019
Compass Bank Redwood City CA 06/2017 10/2019
Fremont Bank Fremont CA 11/2016 06/2017
Transamerica Financial Advisors, Inc Alviso CA 10/2016 11/2016
World Financial Group Inc Alviso CA 10/2012 11/2016
Bbva Compass Insurance Agency Inc Austin TX 08/2017 10/2019
Wells Fargo Clearing Services Llc Half Moon Bay CA 11/2019 06/2024
Wells Fargo Bank Na Half Moon Bay CA 11/2019 06/2024
Edward Jones St Louis MO 07/2024 Present
  • 10/2017 → 10/2019
    Bbva Securities Inc
    Redwood City, CA
  • 06/2017 → 10/2019
    Compass Bank
    Redwood City, CA
  • 11/2016 → 06/2017
    Fremont Bank
    Fremont, CA
  • 10/2016 → 11/2016
    Transamerica Financial Advisors, Inc
    Alviso, CA
  • 10/2012 → 11/2016
    World Financial Group Inc
    Alviso, CA
  • 08/2017 → 10/2019
    Bbva Compass Insurance Agency Inc
    Austin, TX
  • 11/2019 → 06/2024
    Wells Fargo Clearing Services Llc
    Half Moon Bay, CA
  • 11/2019 → 06/2024
    Wells Fargo Bank Na
    Half Moon Bay, CA
  • 07/2024 → Present
    Edward Jones
    St Louis, MO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-10
S63 Uniform Securities Agent State Law Examination 2018-10-12
  • S65 Uniform Investment Adviser Law Examination
    2022-10-10
  • S63 Uniform Securities Agent State Law Examination
    2018-10-12
Other Names
  • Guyang Xu
  • Cliff G Xu
  • Guyang C Xu
  • Gu Yang Xu
  • Gu Yang Xu
  • Cliff C Xu
  • Cliff Guyang Xu
  • Guyang Cliffx Xu
  • Cliff Guyang Xu
  • Guyang Cliff Xu

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
U.S. BANCORP ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
J.P. MORGAN SECURITIES LLC

Other Investors

Mark Alan Thomas
Philip R Waelbrock
Vidal Velez
Charles Romualdez
BRYAN KEITH CHEW
MARITES JANE AVILA
Yun Chen
Leslie Michelle Sategna

Other Offices

EDWARD JONES · ELK GROVE, CA
COMMONWEALTH FINANCIAL NETWORK · Elk Grove, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ELK GROVE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Elk Grove, CA
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. · Elk Grove, CA
U.S. BANCORP ADVISORS, LLC · Elk Grove, CA
WELLS FARGO CLEARING SERVICES, LLC · ELK GROVE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Elk Grove, CA

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