Yi Yang
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.
Yi Yang, who also goes by Eva Yang, was a registered financial professional .
Yi is a previously registered financial professional and started their career in finance in 1996. Yi had worked at 11 firms and has passed the Series 65, Series 66, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2012 - November 15, 2012
MSI FINANCIAL SERVICES, INC.
December 20, 2011 - November 15, 2012
MSI FINANCIAL SERVICES, INC.
November 15, 2011 - November 28, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
September 20, 2011 - November 28, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
July 24, 2009 - September 15, 2011
STONEX SECURITIES INC.
July 9, 2009 - September 15, 2011
INTL CUSTODY & CLEARING SOLUTIONS INC.
July 9, 2009 - September 15, 2011
CUSO PARTNERS, LLC
July 7, 2009 - September 15, 2011
STERNE, AGEE & LEACH, INC.
February 3, 2006 - February 4, 2009
MORTGAGES LTD. SECURITIES, L.L.C.
January 27, 2005 - January 31, 2006
MML INVESTORS SERVICES, LLC
January 7, 2005 - January 31, 2006
MML INVESTORS SERVICES, LLC
January 2, 2003 - January 13, 2005
SUNAMERICA SECURITIES, INC.
April 11, 2002 - January 13, 2005
SPELMAN & CO., INC.
April 11, 2002 - January 13, 2005
SENTRA SECURITIES CORPORATION
November 12, 1996 - January 13, 2005
SUNAMERICA SECURITIES, INC.
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
Current Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
