Yancy Yohannan
Professional summary
Yancy Yohannan, who also goes by Yancy "nmn" Yohannan, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.
Yancy is registered as a RR (Registered Representative) and started their career in finance in 1999. Yancy has worked at 8 firms and has passed the Series 63, Series 65, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 14, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yancy Yohannan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2017 - Present
STATE STREET GLOBAL MARKETS, LLC
Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016June 9, 2015 - October 28, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 6, 2012 - October 26, 2015
STERNE, AGEE & LEACH, INC.
January 3, 2006 - February 7, 2012
BOENNING & SCATTERGOOD, INC.
May 3, 2005 - January 6, 2006
RBC CAPITAL MARKETS CORPORATION
February 17, 2004 - April 25, 2005
NF CLEARING, INC.
March 7, 2001 - February 2, 2004
RBC CAPITAL MARKETS CORPORATION
November 15, 1999 - February 26, 2001
HARRISDIRECT LLC
April 23, 1999 - June 7, 1999
WORLDCO, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 2/20/2001
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852 / SEC#: , 8-69862
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FISCHER, MARTIN ROBERT | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1692872 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852Boston, MA 02114-2016TRUST BUT VERIFY
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