Felicia Y. Pan
Professional summary
Felicia Yieh Pan, who also goes by Felicia Yieh, is a registered financial professional currently at RAINMAKER SECURITIES, LLC located in New York, New York.
Felicia is registered as a RR (Registered Representative) and started their career in finance in 1994. Felicia has 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) - BD
Click below to view Felicia Yieh Pan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2017 - Present
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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2017)
(10/16/2017)
(11/7/2019)
(10/16/2017)
(10/16/2017)
(10/16/2017)
(10/16/2017)
Exams
FINRA
Current Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
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