Elaine Y. Yu
Professional summary
Elaine Yeeling Yu, who also goes by Elaine Y Yu, Yeeling Yu, is a registered financial professional currently at DBS VICKERS SECURITIES (USA) INC. located in New York, New York.
Elaine is registered as a RR (Registered Representative) and started their career in finance in 1992. Elaine has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elaine Yeeling Yu's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2010 - Present
DBS VICKERS SECURITIES (USA) INC.
Office #1: 777 Third Ave Suite 1701, New York, NY 10017Office #2: 777 Third Ave Suite 1701, New York, NY 10017February 26, 2002 - July 17, 2007
DEUTSCHE BANK SECURITIES INC.
August 28, 1992 - February 20, 2002
GOLDMAN SACHS & CO. 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
(4/6/2010)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DBS VICKERS SECURITIES (USA) INC.
CRD#: 35691 / SEC#: , 8-46837
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBS VICKERS SECURITIES HOLDINGS PTE LTD (FORMERLY VICKERS BALLAS HOLDINGS LIMITED) | NEW PARENT COMPANY - A/O 9/12/2001 100% OWNER, A/0 10/01/01 CONSOLIDATED REPORTING | |
| MARRONE, MICHAEL THOMAS | FINOP/PFO/POO | 4859949 |
| MCCABE, THOMAS JOSEPH | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& MANAGING DIRECTOR OF DBS BANK - LOS ANGELES | 2333611 |
| TANG, YEW CHOONG | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD) | 7462745 |
| YU, ELAINE YEELING | CEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA | 2246528 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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