Yun Huang
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.
Yun Huang was a registered financial professional .
Yun is a previously registered financial professional and started their career in finance in 1993. Yun had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 1998 - July 31, 1999
PCI*TRADE SECURITIES
October 7, 1997 - April 3, 1998
PRUCO SECURITIES, LLC.
January 28, 1997 - April 7, 1997
WMA SECURITIES, INC.
March 15, 1996 - June 25, 1996
GILFORD SECURITIES INCORPORATED
March 31, 1995 - February 1, 1996
WHITEHALL-PARKER SECURITIES, INC.
February 24, 1994 - March 13, 1995
WEDBUSH SECURITIES INC.
October 4, 1993 - January 31, 1994
EXPANSION CAPITAL SECURITIES
August 24, 1993 - September 13, 1993
REYNOLDS KENDRICK STRATTON, INC.
July 27, 1993 - August 17, 1993
E-W INVESTMENTS, 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
PCI*TRADE SECURITIES
CRD#: 40650 / SEC#: , 8-49111
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIU, SHIXIONG | PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 2217632 |
| BRIAN LAI | DIRECT OWNER | |
| KENNEDY, EDWARD LYMAN | DIRECT OWNER | |
| WEI, QING | REGISTERED REP |
Disclosures
| Regulatory Event | 1 |
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.
