Jian Y. Ye
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.
Jian Yi Ye, who also goes by Jian Ye, Ken Ye, was a registered financial professional .
Jian is a previously registered financial professional and started their career in finance in 2002. Jian had worked at 3 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2014 - August 1, 2025
GUIDING STAR GROUP, LLC
May 23, 2012 - August 8, 2013
NI ADVISORS
February 19, 2008 - September 13, 2012
GUIDING STAR GROUP, LLC
September 25, 2007 - June 4, 2010
NI ADVISORS
December 1, 2005 - August 8, 2013
NI ADVISORS
January 14, 2004 - November 30, 2005
CARILLON INVESTMENTS, INC.
August 2, 2002 - November 30, 2005
CARILLON INVESTMENTS, 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
GUIDING STAR GROUP, LLC
CRD#: 145844 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 40,000 |
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.
