Yeching Ling
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.
Yeching Ling, who also goes by Y Richard Ling, was a registered financial professional .
Yeching is a previously registered financial professional and started their career in finance in 1990. Yeching had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2007 - February 18, 2016
WORLD INVESTMENTS, LLC
February 14, 2005 - February 18, 2016
WORLD INVESTMENTS, LLC
July 23, 1999 - February 1, 2005
NATIONAL PLANNING CORPORATION
November 19, 1993 - July 27, 1999
OSAIC WEALTH, INC.
January 23, 1990 - November 19, 1993
IDS LIFE INSURANCE COMPANY
January 23, 1990 - November 19, 1993
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 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.
