Hyun M. Yi
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.
Hyun M Yi, who also goes by Sean Lee, Hyun Min Yi, Sean Yi, was a registered financial professional .
Hyun is a previously registered financial professional and started their career in finance in 1993. Hyun had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2015 - December 31, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
April 24, 2013 - July 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2013 - July 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2010 - December 17, 2010
LINCOLN INVESTMENT
March 22, 2010 - December 17, 2010
LINCOLN INVESTMENT
September 11, 2008 - June 19, 2009
PNC WEALTH MANAGEMENT LLC
September 11, 2008 - June 19, 2009
PNC WEALTH MANAGEMENT LLC
November 14, 2007 - July 7, 2008
LINCOLN INVESTMENT
April 24, 2007 - July 7, 2008
LINCOLN INVESTMENT
May 26, 1995 - January 30, 2007
TD AMERITRADE, INC.
March 23, 1994 - May 17, 1995
MURIEL SIEBERT & CO., LLC
February 14, 1994 - March 31, 1994
LADENBURG THALMANN & CO. INC.
September 3, 1993 - January 1, 1994
REICH & CO., INC.
April 22, 1993 - May 7, 1993
BERKELEY SECURITIES CORPORATION
February 22, 1993 - April 6, 1993
J. GREGORY & COMPANY, 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
Current Firm
FARMERS FINANCIAL SOLUTIONS, LLC
CRD#: 103863 / SEC#: 801-108217, 8-52361
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FFS HOLDING, LLC | MANAGING MEMBER | |
| BORKIN, JOSHUA ALAN | CHIEF FINANCIAL OFFICER | 6536355 |
| DAHM, CHRISTINE | BOARD MEMBER | 8191792 |
| DO, CHAU | SECRETARY | 7865522 |
| HANSON, GUY MEADE | BOARD MEMBER | 7165729 |
| HOHL, DOREN EUGENE | BAORD MEMBER | 1953425 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 4539081 |
| ROBINSON, TARETHA ANN | DIRECTOR OF OPERATIONS | 4539081 |
| SCHEAR, ZACHARY | PRESIDENT | 5958762 |
| SCOTT, JANICE GALE | BOARD MEMBER | 7909854 |
| WILLOUGHBY, DENITA ANNETTE | BOARD MEMBER | 2368099 |
Disclosures
| Regulatory Event | 5 |
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.
