Yolande D. Black
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.
Yolande Danielle Black, who also goes by Yolande D Black, was a registered financial professional .
Yolande is a previously registered financial professional and started their career in finance in 1989. Yolande had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2015 - July 10, 2018
CREDIT SUISSE SECURITIES (USA) LLC
June 2, 2014 - July 13, 2015
COMMERZ MARKETS LLC
February 20, 2013 - June 11, 2014
UBS SECURITIES LLC
February 9, 2010 - February 7, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
February 9, 2010 - February 7, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
June 19, 2006 - January 25, 2010
HSBC SECURITIES (USA) INC.
June 19, 2006 - January 25, 2010
HSBC SECURITIES (USA) INC.
February 28, 2005 - June 2, 2006
DIVINE CAPITAL MARKETS LLC
February 13, 2004 - March 7, 2005
MONY SECURITIES CORPORATION
September 11, 2002 - March 7, 2005
MONY SECURITIES CORPORATION
March 8, 2001 - July 19, 2002
CITIGROUP GLOBAL MARKETS INC.
September 26, 2000 - March 22, 2001
UBS FINANCIAL SERVICES INC.
March 20, 1999 - October 13, 2000
QUICK & REILLY, INC.
March 21, 1998 - October 13, 2000
SURETRADE INC.
April 15, 1997 - March 10, 1998
LEBENTHAL & CO., INC.
March 9, 1994 - April 18, 1997
GKN SECURITIES CORP.
July 8, 1991 - March 18, 1994
CHARLES SCHWAB & CO., INC.
December 22, 1989 - March 18, 1991
CIBC WORLD MARKETS CORP.
June 20, 1989 - November 25, 1989
LADENBURG THALMANN & CO. INC.
April 18, 1989 - June 26, 1989
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 8/17/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
