Carl K. Yeung
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.
Carl K Yeung, who also goes by Chick K Yeung, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1994. Carl had worked at 6 firms and has passed the Series 63, SIE 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 21, 2012 - December 7, 2016
INTEGRAL FINANCIAL LLC
August 21, 2002 - December 3, 2003
1ST DISCOUNT BROKERAGE, INC.
April 18, 2001 - August 21, 2002
ACUMENT SECURITIES, INC.
March 7, 2001 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
September 16, 1996 - March 6, 2001
SECURITIES AMERICA, INC.
February 15, 1994 - September 23, 1996
INTERFIRST CAPITAL CORPORATION
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
INTEGRAL FINANCIAL LLC
CRD#: 120343 / SEC#: , 8-65284
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
