Haiguang H. Yin
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.
Haiguang Hai Yin, CFP®, who also goes by Hai Guang Yin, Haiguang Hai Yin, John Yin, was a registered financial professional .
Haiguang is a previously registered financial professional and started their career in finance in 1999. Haiguang had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2024 - August 12, 2024
PACKERLAND BROKERAGE SERVICES, INC.
March 13, 2024 - August 12, 2024
PACKERLAND BROKERAGE SERVICES, INC.
January 21, 2014 - June 26, 2023
CETERA INVESTMENT ADVISERS LLC
January 29, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 29, 2013 - June 26, 2023
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - January 30, 2013
LPL FINANCIAL LLC
October 11, 2011 - January 30, 2013
LPL FINANCIAL LLC
February 18, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
July 31, 2007 - February 18, 2009
UCB ASSET MANAGEMENT, INC.
May 7, 2004 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
May 7, 2004 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
September 17, 2003 - May 7, 2004
IFMG SECURITIES, INC.
September 17, 2003 - May 7, 2004
IFMG SECURITIES, INC.
August 22, 2000 - July 8, 2003
EQUITABLE ADVISORS, LLC
September 27, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 27, 1999 - July 8, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
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
Current Firm
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
Contact information
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
