Tony D. Yeh
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.
Tony D Yeh, who also goes by Tony Yeh, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1994. Tony had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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 6, 2018 - December 30, 2021
CERES RESEARCH AND TRADING LLC
June 20, 2014 - April 17, 2023
QUANTSCAPE ASSET MANAGEMENT LLC
June 29, 1998 - February 20, 2001
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
October 18, 1994 - September 2, 1997
SBC WARBURG, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CERES RESEARCH AND TRADING LLC
CRD#: 291931 / SEC#:
Contact information
Red Flags
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