Yvesandre Istel
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.
Yvesandre Istel, who also goes by Eyvesandre Istel, was a registered financial professional .
Yvesandre is a previously registered financial professional and started their career in finance in 1964. Yvesandre had worked at 7 firms and has passed the Series 79TO, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 1993 - April 11, 2022
ROTHSCHILD & CO US INC.
June 10, 1988 - January 20, 1993
DRESDNER KLEINWORT WASSERSTEIN, LLC
January 27, 1984 - February 12, 1988
CREDIT SUISSE SECURITIES (USA) LLC
February 22, 1978 - February 10, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 7, 1975 - January 2, 1979
KUHN, LOEB & CO. ASIA
November 30, 1967 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
February 27, 1964 - February 22, 1978
KUHN LOEB & CO. 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/5/1959
Registered Representative ExaminationSeries 00
Date: 4/11/1966
General Securities Principal ExaminationCurrent Firm
ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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