Roy Yan
Professional summary
Roy Yan is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roy Yan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2020 - Present
VELOCITY CAPITAL, LLC
Office #1: 199 Water Street 8th Floor, New York, NY 10038April 15, 2025 - Present
GOLD STREET CAPITAL, LLC
Office #1: 199 Water Street 8th Floor, New York, NY 10038April 2, 2024 - March 20, 2025
VELOCITY CLEARING, LLC
July 18, 2017 - December 10, 2018
MIRAE ASSET SECURITIES (USA) INC.
February 24, 2006 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1993 - May 13, 1996
D. E. SHAW INVESTMENTS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/19/2025)
(5/6/2025)
Exams
Series 7TO
Date: 9/30/2020
General Securities Representative ExaminationSeries 55
Date: 11/1/2006
Limited Representative-Equity Trader ExamCboe Exchange, Inc.
FINRA
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
GOLD STREET CAPITAL, LLC
CRD#: 282643 / SEC#: , 8-69727
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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