Yi-yun Yang
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.
Yi-yun Yang, who also goes by Yi Yun Yang, Yiyun Yang, Yolinda Yang, was a registered financial professional .
Yi-yun is a previously registered financial professional and started their career in finance in 1998. Yi-yun had worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2012 - December 11, 2020
B.B. GRAHAM & COMPANY, INC.
September 20, 2010 - June 5, 2012
NEWPORT COAST SECURITIES, INC.
September 20, 2010 - June 5, 2012
NEWPORT COAST SECURITIES, INC.
July 6, 2007 - August 23, 2010
FINANCIAL ADVISERS OF AMERICA, LLC
July 6, 2007 - August 23, 2010
FINANCIAL ADVISERS OF AMERICA, LLC
June 7, 2004 - June 5, 2007
LPL FINANCIAL LLC
June 7, 2004 - June 5, 2007
LPL FINANCIAL LLC
June 26, 2003 - April 20, 2004
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
January 29, 2003 - April 12, 2004
SUNAMERICA SECURITIES, INC.
February 22, 2001 - July 11, 2002
SUNAMERICA SECURITIES, INC.
December 18, 1998 - February 26, 2001
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
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 7TO
Date: 1/16/2024
General Securities Representative ExaminationCurrent Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
