Michael K. Yap
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.
Michael Kit Yong Yap was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 1 firm and has passed the Series 63, Series 7, Series 4, Series 53, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1991 - November 30, 2006
AMERICAL SECURITIES, 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
Exams
Series 28
Date: 4/2/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AMERICAL SECURITIES, INC.
CRD#: 28096 / SEC#: , 8-43484
Contact information
Documents
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.
