Don J. Yen
Professional summary
Don Joe Yen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Don is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Don had worked at 8 firms, which includes TYM SECURITIES INC., MOMENTUM INDEPENDENT NETWORK INC., TAYLOR STUART FINANCIAL INC., HARRIS SECURITIES INC., PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., BRIDGEROCK SECURITIES INC., TEXAKOMA FINANCIAL INC., BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 1996 - February 5, 2002
TYM SECURITIES, INC.
April 29, 1996 - October 14, 1996
MOMENTUM INDEPENDENT NETWORK INC.
January 26, 1996 - May 6, 1996
TAYLOR STUART FINANCIAL, INC.
March 18, 1994 - July 27, 1995
HARRIS SECURITIES, INC.
February 3, 1992 - July 29, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
December 21, 1989 - October 25, 1991
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 9, 1988 - December 21, 1989
BRIDGEROCK SECURITIES, INC.
July 21, 1987 - September 24, 1987
TEXAKOMA FINANCIAL, INC.
March 25, 1987 - July 1, 1987
BLINDER, ROBINSON & CO., 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
Current Firm
TYM SECURITIES, INC.
CRD#: 40748 / SEC#: , 8-49181
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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