YH
Ye E. Huang
LIFEMARK SECURITIES
Wellesley, MA 02481
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CRD#: 3006743
YH
Professional summary
Ye Edward Huang, who also goes by Ye Huang, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Wellesley, Massachusetts.
Ye is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ye has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ye Huang
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) INDEPENDENT INSURANCE AGENT, 70 Manor Ave, Wellesley, MA 02482,sales & service of life, accident & health insurance, 1 hr/SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 4/2010
2.) ATTORNEY - Law offices of Ye Huang, investment related, 60 Walnut St.,4th Floor, Wellesley, MA 02481, - 6 hrs/wk during TRADING HOURS , START DATE 6/2008, estate planning
Rep has real estate license
Leadership role for the following organizations:
President & Chairman of Asian American Assoc of Boston
Chairman of Fujianess Assoc
Chairman of Boston Fujianess Chamber of Commerce
CRS (Client Relationship Summary) - RIA
Click below to view Ye Edward Huang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ye Edward Huang's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 20, 2018 - Present
LIFEMARK SECURITIES CORP.
Office #1: 60 Walnut Street 4th Floor, Wellesley, MA 02481RIA
BD
CRD#: 16204
Wellesley, MA
Current
October 29, 2018 - Present
LIFEMARK SECURITIES CORP.
Office #1: 60 Walnut Street 4th Floor, Wellesley, MA 02481RIA
BD
CRD#: 16204
Wellesley, MA
Past
August 21, 2014 - October 31, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
WELLESLEY, MA
Past
August 6, 2014 - October 31, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
July 3, 2012 - August 1, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
NATICK, MA
Past
February 10, 2009 - August 1, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NATICK, MA
Past
April 26, 2006 - February 25, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WELLESLEY, MA
Past
June 1, 2005 - February 25, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
Past
February 25, 2005 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
WELLESLEY, MA
Past
January 1, 2002 - December 31, 2004
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
WELLESLEY, MA
Past
February 18, 1998 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(10/29/2018)
IAR
Massachusetts(11/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
Company Information
LIFEMARK SECURITIES CORP.
CRD#: 16204Wellesley, MA 02481TRUST BUT VERIFY
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