Elaine Y. Yao
Professional summary
Elaine Yuen-wen Yao, who also goes by Elaine Y Yao, is a registered financial professional currently at HURON TRANSACTION ADVISORY LLC located in New York, New York.
Elaine is registered as a RR (Registered Representative) and started their career in finance in 1994. Elaine has worked at 6 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 50 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elaine Yuen-wen Yao's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 18, 2023 - Present
HURON TRANSACTION ADVISORY LLC
Office #1: 1166 Avenue Of The Americas 3rd Floor, New York, NY 10036September 2, 2021 - May 5, 2023
GOLDMAN SACHS & CO. LLC
December 18, 2012 - June 14, 2021
H2C SECURITIES INC.
June 1, 2007 - September 21, 2011
MORGAN KEEGAN & COMPANY, LLC
March 16, 2004 - June 6, 2007
SHATTUCK HAMMOND PARTNERS LLC
September 23, 1994 - January 24, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/18/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
HURON TRANSACTION ADVISORY LLC
CRD#: 166959 / SEC#: , 8-69237
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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