Institution Details
| Name | NOVEL SECURITIES, INC. |
|---|---|
| Former Name | |
| Certificate Registration No. | 01-2016-00282 |
| License | Broker/Dealer in Securities (BD) Mutual Fund Distributor (MFD) |
| Last Annual Fee Payment | 2021-11-25 (BD license) 2021-11-25 (MFD license) |
List of Capital Market Professionals
Total 4 results.
| # | Name | Certificate Registration No. | License | Last Annual Payment Date |
|---|---|---|---|---|
| 1 | CRUZ, JOSHUA CORNELIUS PAUL | 02-2016-11833 | Associated Person | 2021-11-25 |
| 2 | SANTOS, ENRIQUE DANIEL CABUSLAY | 02-2018-13247 | Compliance Officer | 2021-11-25 |
| 3 | YU, LAWRENCE KRISTOFFER LU | 02-2012-06624 | Salesman Certified Investment Solicitor | 2021-11-25 2021-11-25 |
| 4 | YU, MARK ANTHONY LU | 02-2013-07895 | Certified Investment Solicitor | 2021-11-25 |