Jayro Yoo
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.
Jayro Yoo, who also goes by Jayro Von Ruppert Yoo, Jayro Von Ruppert Yoo, was a registered financial professional .
Jayro is a previously registered financial professional and started their career in finance in 2001. Jayro had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2017 - February 2, 2021
DWS DISTRIBUTORS, INC.
July 2, 2015 - July 5, 2016
NYLIFE DISTRIBUTORS LLC
August 9, 2013 - June 25, 2015
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 12, 2012 - July 8, 2013
ALPHAMAX DISTRIBUTORS, L.L.C.
October 17, 2011 - November 26, 2012
SALIENT CAPITAL ADVISORS, LLC
November 6, 2008 - November 26, 2012
SALIENT CAPITAL L.P.
September 12, 2007 - November 11, 2008
SANDERS MORRIS LLC
July 9, 2001 - August 27, 2001
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/6/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
