Alice Yau
Professional summary
Alice Yau, who also goes by Alice N Yau, is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York.
Alice is registered as a RR (Registered Representative) and started their career in finance in 1992. Alice has worked at 6 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alice Yau's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2022 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167January 13, 2021 - August 9, 2022
SCOTIA CAPITAL (USA) INC.
March 30, 2005 - August 31, 2020
HSBC SECURITIES (USA) INC.
September 24, 1997 - March 22, 2005
J.P. MORGAN SECURITIES INC.
September 14, 1995 - September 15, 1997
MORGAN STANLEY DW INC.
August 31, 1994 - June 13, 1995
CIBC WORLD MARKETS CORP.
January 20, 1992 - August 17, 1994
MORGAN STANLEY DW 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
(9/12/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 2/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
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