Yin Y. Zhong
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.
Yin Yvonne Zhong, who also goes by Yvonne Zhong, was a registered financial professional .
Yin is a previously registered financial professional and started their career in finance in 1999. Yin had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 4 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
February 22, 2018 - December 11, 2023
NI ADVISORS
September 25, 2017 - March 7, 2018
CETERA INVESTMENT SERVICES LLC
February 28, 2017 - September 25, 2017
LPL FINANCIAL LLC
May 1, 2014 - February 28, 2017
CETERA INVESTMENT SERVICES LLC
June 5, 2012 - May 6, 2014
EQUITABLE ADVISORS, LLC
February 2, 2010 - March 28, 2012
NI ADVISORS
June 13, 2005 - February 13, 2008
UCB INVESTMENT SERVICES, INC.
September 26, 2000 - July 6, 2005
SUPERTRADE SECURITIES, INC.
March 8, 2000 - September 28, 2000
GOLDEN STREAM SECURITIES, INC.
June 17, 1999 - March 6, 2000
YOUNGBLOOD SECURITIES CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
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.
