Chauwei Yak
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.
Chauwei Yak, who also goes by Chau Wei Yak, was a registered financial professional .
Chauwei is a previously registered financial professional and started their career in finance in 2010. Chauwei had worked at 1 firm and has passed the 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
January 26, 2010 - February 27, 2019
REEF RESOURCES, LLC
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
REEF RESOURCES, LLC
CRD#: 133646 / SEC#: , 8-66748
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MYERS, ANDREW CHRISTOPHER | CHIEF EXECUTIVE OFFICER | |
| FEINGLAS, JEFFREY KENNETH | FINOP/CHIEF COMPLIANCE OFFICER | 4618380 |
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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