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JY

Jason Yip

AQUILO PARTNERS, L.P.
San Francisco, CA 94108
Some features on this profile are disabled
CRD#: 4446295
JY

Professional summary

Jason Yip is a registered financial professional currently at AQUILO PARTNERS, L.P. located in San Francisco, California.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2001. Jason has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Yip's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 26, 2012 - Present

AQUILO PARTNERS, L.P.

Office #1: 601 California Street, Suite 500, San Francisco, CA 94108
BD
CRD#: 114909
San Francisco, CA
Past

August 18, 2008 - August 14, 2012

MONTGOMERY & CO., LLC

BD
CRD#: 42300
SAN FRANCISCO, CA
Past

February 27, 2004 - August 26, 2008

JEFFERIES LLC

BD
CRD#: 2347
FOSTER CITY, CA
Past

October 5, 2001 - February 27, 2004

BROADVIEW INTERNATIONAL LLC

BD
CRD#: 27265
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/26/2012)
RR
New York
(8/1/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AP
AQUILO PARTNERS, L.P.
AQUILO PARTNERS, INC. | BIOADVISORS, INC. | AQUILO PARTNERS, L.P.

CRD#: 114909 / SEC#: , 8-53441

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
601 California Street, Suite 500, San Francisco, CA 94108
Mailing Address
601 California Street, Suite 500, San Francisco, CA 94108
Phone number
(415) 677-0999
Established
California since 12/12/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DYER, JOHN KNOWLES IILIMITED PARTNER4179051
METZGER, DAVID JAMESLIMITED PARTNER4649486
RUMSEY, JOHN HANNACHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER2017165
ZANZE, JAMES FAGANPRESIDENT/CHIEF COMPLIANCE OFFICER2276354
POSTREL, HELENE BERSONFINOP2240945

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.

Company Information

AQUILO PARTNERS, L.P.

CRD#: 114909San Francisco, CA 94108

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