Violet S. Foo
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.
Violet Suhsien Foo, who also goes by VIolet S Foo, was a registered financial professional .
Violet is a previously registered financial professional and started their career in finance in 1996. Violet had worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2005 - July 3, 2025
DBS VICKERS SECURITIES (USA) INC.
September 17, 2003 - July 28, 2005
DAIWA CAPITAL MARKETS AMERICA INC.
April 17, 1999 - September 10, 2003
CAZENOVE INCORPORATED
July 1, 1997 - November 9, 1998
BNP PARIBAS SECURITIES CORP.
September 20, 1996 - July 2, 1997
ASIA EQUITY 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
DBS VICKERS SECURITIES (USA) INC.
CRD#: 35691 / SEC#: , 8-46837
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBS VICKERS SECURITIES HOLDINGS PTE LTD (FORMERLY VICKERS BALLAS HOLDINGS LIMITED) | NEW PARENT COMPANY - A/O 9/12/2001 100% OWNER, A/0 10/01/01 CONSOLIDATED REPORTING | |
| MARRONE, MICHAEL THOMAS | FINOP/PFO/POO | 4859949 |
| MCCABE, THOMAS JOSEPH | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& MANAGING DIRECTOR OF DBS BANK - LOS ANGELES | 2333611 |
| TANG, YEW CHOONG | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD) | 7462745 |
| YU, ELAINE YEELING | CEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA | 2246528 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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