David C. Kyi
Professional summary
David Chong Kyi was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, David had worked at 5 firms, which includes SOGOTRADE INC., GENESIS SECURITIES LLC, E*TRADE CLEARING LLC, E*TRADE SECURITIES LLC, TD AMERITRADE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2011 - February 4, 2025
SOGOTRADE, INC.
June 4, 2008 - January 26, 2011
GENESIS SECURITIES, LLC
December 17, 2007 - May 22, 2008
E*TRADE CLEARING LLC
September 21, 2007 - December 17, 2007
E*TRADE SECURITIES LLC
December 23, 1996 - October 4, 2006
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 4/11/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SOGOTRADE, INC.
CRD#: 17912 / SEC#: , 8-35930
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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