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Roy Yan

VELOCITY CAPITAL

NEW YORK, NY

·CRD# 2352916·23 years experience

Professional Summary

Roy Yan is a registered financial advisor currently at VELOCITY CAPITAL, LLC located in New York, New York and GOLD STREET CAPITAL, LLC located in New York, New York. Roy is registered as a RR (Registered Representative) and started their career in finance in 1993. Roy has worked at 6 firms and has passed the Series 63, Series 3, Series 7TO, SIE, Series 57, Series 55, Series 7, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

23 years in the financial services industry

Current & Past Employments

VELOCITY CAPITAL, LLC·CRD# 171810

BD

199 Water Street 8th Floor, New York, NY 10038

April 17, 2020 - Present

GOLD STREET CAPITAL, LLC·CRD# 282643

BD

199 Water Street 8th Floor, New York, NY 10038

April 15, 2025 - Present

VELOCITY CLEARING, LLC·CRD# 126588

BD

New York, NY

June 30, 2026 - September 3, 2026

VELOCITY CLEARING, LLC·CRD# 126588

BD

New York, NY

April 2, 2024 - March 20, 2025

MIRAE ASSET SECURITIES (USA) INC.·CRD# 30679

BD

New York, NY

July 18, 2017 - December 10, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

New York, NY

February 24, 2006 - January 2, 2009

D. E. SHAW INVESTMENTS, L.P.·CRD# 22786

BD

New York, NY

October 11, 1993 - May 13, 1996

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Current Firm

GS

GOLD STREET CAPITAL, LLC

BFIN FINANCIAL SERVICES, LLC | GOLD STREET CAPITAL, LLC

CRD#: 282643 / SEC#: 8-69727

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

199 Water Street 8th Floor, New York, NY 10038

Mailing Address

199 Water Street 8th Floor, New York, NY 10038

Phone Number

(917) 494-6375

Established

Illinois since 11/12/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (2 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
CF7, LLC	OWNER/INVESTOR	—
LOONEY, TIMOTHY ANDREW	CFO/FINOP	2727098
SMITH, JEFFREY SCOTT	CCO	2492551
YAN, ROY	CEO	2352916

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(3/11/2026)

RR

Alaska
(3/11/2026)

RR

Arizona
(3/11/2026)

RR

Arkansas
(3/11/2026)

RR

California
(3/11/2026)

RR

Colorado
(3/11/2026)

RR

Connecticut
(3/11/2026)

RR

Delaware
(3/11/2026)

RR

District of Columbia
(3/11/2026)

RR

Florida
(3/11/2026)

RR

Georgia
(3/11/2026)

RR

Hawaii
(3/11/2026)

RR

Idaho
(3/11/2026)

RR

Illinois
(3/11/2026)

RR

Indiana
(5/19/2025)

RR

Iowa
(3/11/2026)

RR

Kansas
(3/11/2026)

RR

Kentucky
(3/11/2026)

RR

Louisiana
(3/11/2026)

RR

Maine
(3/11/2026)

RR

Maryland
(3/11/2026)

RR

Massachusetts
(3/11/2026)

RR

Michigan
(3/11/2026)

RR

Mississippi
(3/11/2026)

RR

Missouri
(3/11/2026)

RR

Montana
(3/11/2026)

RR

Nebraska
(3/11/2026)

RR

Nevada
(3/11/2026)

RR

New Hampshire
(3/11/2026)

RR

New Jersey
(3/11/2026)

RR

New Mexico
(3/11/2026)

RR

New York
(5/6/2025)

RR

North Carolina
(3/16/2026)

RR

North Dakota
(3/11/2026)

RR

Ohio
(3/12/2026)

RR

Oklahoma
(3/11/2026)

RR

Oregon
(3/11/2026)

RR

Pennsylvania
(3/11/2026)

RR

Puerto Rico
(3/11/2026)

RR

Rhode Island
(3/11/2026)

RR

South Carolina
(3/11/2026)

RR

South Dakota
(3/11/2026)

RR

Tennessee
(3/11/2026)

RR

Texas
(3/11/2026)

RR

Utah
(3/11/2026)

RR

Vermont
(3/11/2026)

RR

Virgin Islands
(3/11/2026)

RR

Virginia
(3/11/2026)

RR

Washington
(3/11/2026)

RR

West Virginia
(3/11/2026)

RR

Wisconsin
(3/11/2026)

RR

Wyoming
(3/11/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2025About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Dec 2021About the Series 3 exam

Series 7TO — General Securities Representative Examination

Passed Sep 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 57 — Securities Trader Exam

Passed Jul 2017About the Series 57 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 2006

Series 7 — General Securities Representative Examination

Passed Feb 2006About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Sep 2024About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Nov 2021About the Series 24 exam

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

Nasdaq Texas, LLC

SRO Registrations

New York Stock Exchange

SRO Registrations

Texas Stock Exchange LLC

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Roy Yan's CRS (Customer Relationship Summary).

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RY

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