Yvonne Mui
Professional summary
Yvonne Mui is a registered financial professional currently at J.H. DARBIE & CO., INC. located in New York, New York.
Yvonne is registered as a RR (Registered Representative) and started their career in finance in 2001. Yvonne has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yvonne Mui's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
J.H. DARBIE & CO., INC.
Office #1: 48 Wall St., Suite 1206, New York, NY 10005February 6, 2013 - December 7, 2016
LEGEND SECURITIES, INC.
July 30, 2003 - October 11, 2012
PHD CAPITAL
June 30, 2003 - July 25, 2003
BAY CREST PARTNERS, LLC
July 30, 2001 - June 24, 2003
PHD CAPITAL
March 29, 2001 - July 26, 2001
GENEVA CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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