Wo F. Yao
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.
Wo Fong Yao, who also goes by Yvonne Yao, was a registered financial professional .
Wo is a previously registered financial professional and started their career in finance in 2006. Wo had worked at 3 firms and has passed the Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2011 - January 7, 2014
DIRECT ACCESS PARTNERS LLC
August 31, 2006 - September 20, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
May 8, 2006 - August 29, 2006
G-2 TRADING,LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
