Jijun 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.
Jijun Yi, who also goes by Jimmy Yi, was a registered financial professional .
Jijun is a previously registered financial professional and started their career in finance in 1993. Jijun had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2013 - January 29, 2016
PRUCO SECURITIES, LLC.
July 2, 2010 - February 3, 2011
AVANTAX INVESTMENT SERVICES, INC.
October 23, 2009 - July 8, 2010
UNIVEST SECURITIES, LLC
January 25, 2007 - January 2, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
March 1, 2004 - March 29, 2006
WORLD GROUP SECURITIES, INC.
July 22, 2003 - March 15, 2004
EQUITABLE ADVISORS, LLC
August 1, 2002 - March 15, 2004
EQUITABLE ADVISORS, LLC
April 13, 2000 - December 1, 2000
ELECTRONIC TRADING GROUP, LLC
June 8, 1999 - April 18, 2000
ON-SITE TRADING, INC.
April 7, 1998 - June 16, 1999
ELECTRONIC TRADING GROUP, LLC
January 3, 1998 - April 1, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
August 16, 1996 - November 4, 1996
IDS LIFE INSURANCE COMPANY
August 16, 1996 - November 4, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 1993 - August 15, 1996
METROPOLITAN LIFE INSURANCE COMPANY
March 16, 1993 - August 15, 1996
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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 55
Date: 6/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
