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Grace Chung Yang

CRD# 4011237·Registered 2005 - 2023
Previously Registered: Being a previously registered professional could mean that Grace 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.

Professional Summary

Grace Chung Yang, who also goes by Grace Yeon Chung, was a registered financial advisor. Grace was a previously registered financial professional and started their career in finance 2005 - 2023. Grace had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Grace Yeon Chung

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

LIBERTY GLOBAL CAPITAL SERVICES, LLC·CRD# 134741
BD
Los Altos, CA
February 15, 2016 - February 3, 2023
PREVAIL CAPITAL LLC·CRD# 141322
BD
Los Altos, CA
January 9, 2007 - February 11, 2016
LIBERTY GLOBAL CAPITAL SERVICES, LLC·CRD# 134741
BD
Boston, MA
December 9, 2005 - January 11, 2007

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Current Firm

LG
LIBERTY GLOBAL CAPITAL SERVICES, LLC

LIBERTY GLOBAL CAPITAL SERVICES LLC | LIBERTY GLOBAL PARTNERS | LIBERTY GLOBAL CAPITAL SERVICES, LLC

CRD#: 134741 / SEC#: 8-66860
BD
Terminated by SEC on 02/03/2023

Contact Information

Established

Delaware since 03/25/2004

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
LIBERTY GLOBAL ADVISORY SERVICES, LLCMEMBER—
JOHNSON, KEVIN PITNEYMANAGER, CCO, CEO4930693
PETERS, STACEY ANNFINOP5983623

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2005About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2005About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2006About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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GY
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