Yee S. Ong
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.
Yee Siang Ong was a registered financial professional .
Yee is a previously registered financial professional and started their career in finance in 2001. Yee had worked at 5 firms and has passed the Series 65, Series 63, Series 31 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
November 2, 2004 - December 25, 2015
YSO CAPITAL MANAGEMENT LLC
December 16, 2003 - May 14, 2004
CITICORP INVESTMENT SERVICES
December 16, 2003 - May 14, 2004
CITICORP INVESTMENT SERVICES
February 7, 2003 - June 30, 2003
MORGAN STANLEY DW INC.
June 20, 2002 - June 30, 2003
MORGAN STANLEY DW INC.
September 26, 2001 - April 30, 2002
WAMU INVESTMENTS, INC.
January 10, 2001 - August 28, 2001
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
YSO CAPITAL MANAGEMENT LLC
CRD#: 132682 / SEC#:
Contact information
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.
