Benny Y. Yau
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.
Benny Yung Yau was a registered financial professional .
Benny is a previously registered financial professional and started their career in finance in 1997. Benny had worked at 5 firms and has passed the Series 63, Series 55 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
February 2, 2009 - March 20, 2012
ETICO PARTNERS, LLC
July 25, 2005 - January 27, 2009
BARCLAYS CAPITAL INC.
October 16, 2000 - July 25, 2005
CREDIT SUISSE SECURITIES (USA) LLC
July 18, 2000 - October 16, 2000
PERSHING LLC
June 21, 1999 - September 17, 1999
PERSHING LLC
August 6, 1997 - July 15, 1998
GOLDMAN SACHS & CO. LLC
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 55
Date: 12/29/2006
Limited Representative-Equity Trader ExamCurrent Firm
ETICO PARTNERS, LLC
CRD#: 122481 / SEC#: , 8-65500
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
