Shoony A. Yee
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.
Shoony Anthony Yee, who also goes by Shoony A Yee, was a registered financial professional .
Shoony is a previously registered financial professional and started their career in finance in 1987. Shoony had worked at 7 firms and has passed the Series 63, Series 7, Series 55 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - October 26, 2012
WTS PROPRIETARY TRADING GROUP LLC
February 23, 2012 - March 28, 2012
G-2 TRADING,LLC
May 3, 2011 - June 28, 2011
BENCHMARQ TRADING PARTNERS LLC
May 11, 2006 - January 8, 2008
OPUS TRADING FUND LLC
June 14, 2001 - January 17, 2002
RUMSON CAPITAL, LLC
October 20, 2000 - March 5, 2001
WORLDCO, L.L.C.
September 24, 1987 - July 20, 1990
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
