Articles Tagged with Terry Xu

Terry XuPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on December 2, 2016 indicate that former California-based USA Financial Services broker Terry Xu is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Xu (CRD# 5049038).

Terry Xu has spent ten years in the securities industry and was most recently registered with USA Financial Services in San Francisco, California (2016). He was previously registered with Thrivent Investment Management in San Francisco, California (2005-2016). Mr. Xu is currently not registered with any state or firm.

According to his BrokerCheck report, Terry Xu has received one customer complaint and is the subject of two pending regulatory investigations. He was also terminated from two prior employers.