Yvonne Y. Yiu
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.
Yvonne Yingfan Yiu, who also goes by Yvonne Yiu, was a registered financial professional .
Yvonne is a previously registered financial professional and started their career in finance in 1998. Yvonne had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 27, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - November 10, 2016
KYSON & CO
August 6, 2013 - December 12, 2013
E-W INVESTMENTS, INC.
August 23, 2010 - December 18, 2018
KEY WEST INVESTMENTS, LLC
January 7, 2010 - December 18, 2018
KEY WEST INVESTMENTS, LLC
May 30, 2007 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2007 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2006 - May 10, 2007
HARRISDIRECT LLC
June 2, 2005 - May 10, 2007
E*TRADE SECURITIES LLC
August 29, 2002 - October 1, 2004
CITICORP INVESTMENT SERVICES
May 22, 2002 - October 1, 2004
CITICORP INVESTMENT SERVICES
July 16, 1999 - June 5, 2002
CHARLES SCHWAB & CO., INC.
November 2, 1998 - June 5, 2002
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KYSON & CO
CRD#: 37273 / SEC#: , 8-47683
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHEN, WILLIAM XIONG | CHAIRMAN | |
| SU, CHUENJEN | GENERAL PRINCIPAL, OPTION PRINCIPAL, CCO | 2803125 |
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.
