JY
John F. Yang
FIRST LIBERTIES FINANCIAL
TAMPA, FL 33602
Some features on this profile are disabled
CRD#: 1836254
JY
Professional summary
John Francis Yang, who also goes by Jack Yang, John F Yang, is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jack Yang | John F Yang
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Francis Yang's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 15, 2020 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602BD
CRD#: 14432
TAMPA, FL
Past
August 26, 2013 - January 24, 2019
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
February 14, 2006 - January 29, 2008
NEXBANK SECURITIES INC
BD
CRD#: 133267
NEW YORK, NY
Past
June 30, 2004 - June 27, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
July 29, 1994 - August 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 21, 1988 - July 8, 1994
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/19/2021)
RR
Alaska(1/19/2021)
RR
Arizona(1/19/2021)
RR
Arkansas(1/19/2021)
RR
California(1/19/2021)
RR
Colorado(1/19/2021)
RR
Connecticut(1/19/2021)
RR
Delaware(1/19/2021)
RR
District of Columbia(1/19/2021)
RR
Florida(1/19/2021)
RR
Georgia(1/19/2021)
RR
Hawaii(11/19/2023)
RR
Idaho(1/19/2021)
RR
Illinois(1/19/2021)
RR
Indiana(1/19/2021)
RR
Iowa(1/19/2021)
RR
Kansas(1/19/2021)
RR
Kentucky(1/19/2021)
RR
Louisiana(1/19/2021)
RR
Maine(11/19/2023)
RR
Maryland(1/19/2021)
RR
Massachusetts(1/19/2021)
RR
Michigan(1/19/2021)
RR
Minnesota(1/19/2021)
RR
Mississippi(1/19/2021)
RR
Missouri(1/19/2021)
RR
Montana(1/20/2021)
RR
Nebraska(1/19/2021)
RR
Nevada(1/19/2021)
RR
New Hampshire(1/19/2021)
RR
New Jersey(1/19/2021)
RR
New Mexico(1/19/2021)
RR
New York(12/15/2020)
RR
North Carolina(1/19/2021)
RR
North Dakota(1/19/2021)
RR
Ohio(1/20/2021)
RR
Oklahoma(1/19/2021)
RR
Oregon(1/19/2021)
RR
Pennsylvania(1/19/2021)
RR
Puerto Rico(11/19/2023)
RR
Rhode Island(1/19/2021)
RR
South Carolina(1/19/2021)
RR
South Dakota(1/19/2021)
RR
Tennessee(11/19/2023)
RR
Texas(1/19/2021)
RR
Utah(1/19/2021)
RR
Vermont(1/19/2021)
RR
Virgin Islands(11/19/2023)
RR
Virginia(1/19/2021)
RR
Washington(1/19/2021)
RR
West Virginia(1/19/2021)
RR
Wisconsin(1/19/2021)
RR
Wyoming(1/19/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FL
FIRST LIBERTIES FINANCIAL
FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.
CRD#: 14432 / SEC#: , 8-30673
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Phone number
(917) 639-5451
Established
New York since 10/12/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
