Yale I. Jen
Professional summary
Yale I-eh Jen, who also goes by Yale I-zh Jen, Yale Jen, is a registered financial professional currently at LAIDLAW & COMPANY (UK) LTD. located in New York, New York.
Yale is registered as a RR (Registered Representative) and started their career in finance in 2000. Yale has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yale I-eh Jen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2013 - Present
LAIDLAW & COMPANY (UK) LTD.
Office #1: 521 5th Avenue 12th Floor, New York, NY 10175February 28, 2012 - May 22, 2013
ROTH CAPITAL PARTNERS, LLC
November 29, 2007 - February 24, 2012
MAXIM GROUP LLC
February 19, 2007 - November 21, 2007
RODMAN & RENSHAW, LLC
September 30, 2005 - April 6, 2006
THOMAS WEISEL PARTNERS LLC
April 12, 2004 - August 17, 2005
RODMAN & RENSHAW, LLC
September 8, 2000 - November 29, 2000
KPMG CORPORATE FINANCE LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/23/2013)
Exams
FINRA
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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