Joyce Yee
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.
Joyce Yee was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1993. Joyce had worked at 3 firms and has passed the Series 63, Series 99TO, Series 22TO, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2016 - April 28, 2023
MAYBANK SECURITIES USA INC.
August 3, 1999 - December 8, 2014
ANZ SECURITIES, INC.
August 19, 1998 - October 27, 1998
ANZ SECURITIES, INC.
August 13, 1993 - January 8, 1999
ANZ SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MAYBANK SECURITIES USA INC.
CRD#: 27861 / SEC#: , 8-43264
Contact information
Documents
Red Flags
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