Jae Sung Yoon
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.
Jae Sung Yoon, CFA, who also goes by Enasheo Yoon, Jaesung Yoon, was a registered financial professional .
Jae Sung is a previously registered financial professional and started their career in finance in 1993. Jae Sung had worked at 5 firms and has passed the SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2005 - February 9, 2007
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
March 1, 2005 - July 2, 2025
NYLIFE DISTRIBUTORS LLC
September 30, 2003 - February 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
March 26, 2003 - September 30, 2003
HOWARD WEIL INCORPORATED
November 19, 1993 - August 1, 1997
FAM DISTRIBUTORS, INC.
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
