Felicia Y. Pan
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.
Felicia Yieh Pan, who also goes by Felicia Yieh, was a registered financial professional .
Felicia is a previously registered financial professional and started their career in finance in 1994. Felicia had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2017 - April 7, 2026
RAINMAKER SECURITIES, LLC
April 27, 2015 - October 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 2015 - October 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2008 - October 15, 2008
GFO ADVISORY SERVICES, LLC
May 8, 2006 - January 28, 2008
GOLDMAN SACHS & CO. LLC
December 1, 2002 - May 2, 2006
UST SECURITIES CORP.
March 20, 1997 - December 1, 2002
UST FINANCIAL SERVICES CORP.
September 28, 1994 - December 10, 1996
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
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Exams
Current Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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