Steven Yi
Professional summary
Steven Yi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Steven had worked at 7 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PACIFIC AMERICAN SECURITIES LLC, FIRST AMERICAN TRUST, CHARLES SCHWAB & CO. INC., SECURIAN FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2009 - December 13, 2012
TD AMERITRADE, INC.
April 16, 2009 - December 13, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 16, 2009 - December 13, 2012
TD AMERITRADE, INC.
December 12, 2007 - April 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2007 - April 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2005 - June 7, 2007
PACIFIC AMERICAN SECURITIES, LLC
September 15, 2004 - June 25, 2007
FIRST AMERICAN TRUST
May 31, 2000 - August 25, 2004
CHARLES SCHWAB & CO., INC.
March 16, 2000 - August 25, 2004
CHARLES SCHWAB & CO., INC.
October 18, 1999 - February 17, 2000
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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