Frank H. Yip
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Him Yip JR was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1999. Frank had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2018 - August 25, 2021
THE RETIREMENT GROUP, LLC
May 20, 2017 - December 31, 2017
THE RETIREMENT GROUP, LLC
February 14, 2013 - April 3, 2017
FSC SECURITIES CORPORATION
February 12, 2013 - April 21, 2021
FSC SECURITIES CORPORATION
April 17, 2012 - February 22, 2013
CETERA WEALTH SERVICES, LLC
April 17, 2012 - February 22, 2013
CETERA WEALTH SERVICES, LLC
March 19, 2008 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
October 6, 2006 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
May 3, 1999 - October 23, 2006
CITIGROUP GLOBAL MARKETS INC.
March 4, 1999 - October 23, 2006
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE RETIREMENT GROUP, LLC
CRD#: 148296 / SEC#: 801-69578
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,773 |
| AUM (Assets Under Management) | $ 544,452,358 |
Red Flags
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