Susan Yung
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.
Susan Yung, who also goes by Susan Yung, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2012. Susan had worked at 4 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2019 - August 14, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
November 8, 2018 - January 2, 2024
BOFA SECURITIES, INC.
December 13, 2016 - January 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2012 - October 20, 2016
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
Red Flags
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