Peng Ken Yap
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.
Peng Ken Yap, who also goes by Peng Yap, was a registered financial professional .
Peng Ken is a previously registered financial professional and started their career in finance in 2001. Peng Ken had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2009 - September 17, 2022
ALPINE WEALTH MANAGEMENT LLC
January 31, 2002 - December 26, 2008
UBS FINANCIAL SERVICES INC.
October 26, 2001 - December 26, 2008
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
ALPINE WEALTH MANAGEMENT LLC
CRD#: 149463 / SEC#: 801-69928
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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