Norman Yun
Professional summary
Norman Yun is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Norman is registered as a RR (Registered Representative) and started their career in finance in 1998. Norman has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Norman Yun's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2014 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022June 14, 2013 - February 21, 2014
BROOKLINE GROUP, LLC
October 20, 2010 - June 13, 2013
SUMMER STREET RESEARCH PARTNERS
January 30, 2006 - September 20, 2010
LOUIS CAPITAL MARKETS, LLC
October 8, 1998 - October 21, 2003
WORLDCO, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/25/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/29/2010
Limited Representative-Equity Trader ExamFINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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