Daniel C. Yip
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.
Daniel Chun Yip, who also goes by Daniel C Yip, Daniel Chun Yip, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2020 - August 27, 2025
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
May 6, 2019 - November 23, 2020
CANTOR FITZGERALD & CO.
September 2, 2009 - October 9, 2018
RBC CAPITAL MARKETS, LLC
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
January 29, 1997 - March 17, 2008
CITIGROUP GLOBAL MARKETS INC.
June 20, 1989 - October 22, 1996
JPMSI
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD#: 131487 / SEC#: , 8-66471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | OWNER | |
| CHEN, MING | DEPUTY CHIEF EXECUTIVE OFFICER, FINANCE | 6612667 |
| GU, JIHONG | MANAGER, BOARD OF MANAGERS | 7246351 |
| LONG, HUA | MANAGER, BOARD OF MANAGERS | 7893463 |
| LYU, YU | EXECUTIVE CHAIRMAN, BOARD OF MANAGERS | 8016015 |
| SCHWARTZ, LANNY ALAN | MANAGER, BOARD OF MANAGERS | 2067101 |
| VIRGILIO, ROBERT | CHIEF COMPLIANCE OFFICER | 1464899 |
| ZHU, YOUXI | MANAGER, BOARD OF MANAGERS | 7354740 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
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.
