Janie Yun
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.
Janie Yun, who also goes by Jane Yun, Janie S Yun, was a registered financial professional .
Janie is a previously registered financial professional and started their career in finance in 2002. Janie had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
November 30, 2016 - July 3, 2017
MORGAN STANLEY & CO. LLC
May 6, 2015 - July 27, 2016
SCOTIA CAPITAL (USA) INC.
December 22, 2009 - May 17, 2013
UBS FINANCIAL SERVICES INC.
December 22, 2009 - May 17, 2013
UBS FINANCIAL SERVICES INC.
January 16, 2007 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 16, 2007 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 20, 2005 - January 16, 2007
BOFA DISTRIBUTORS, INC.
February 23, 2005 - January 16, 2007
BOFA ADVISORS, LLC
October 5, 2004 - February 23, 2005
BACAP DISTRIBUTORS, LLC
October 5, 2004 - April 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 5, 2004 - April 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 5, 2004 - August 20, 2005
BACAP DISTRIBUTORS, LLC
August 23, 2002 - July 17, 2003
UBS 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
Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
