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YG

Yimin Ge

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CRD#: 4891755
YG

Professional summary

Yimin Ge was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Yimin is a previously registered financial advisor and started their career in finance in 2005. Prior to being barred, Yimin had worked at 3 firms, which includes SG AMERICAS SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA SECURITIES LLC.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 13, 2011 - July 11, 2014

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

November 1, 2010 - May 6, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 20, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 1, 2006 - January 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JERSEY CITY, NJ
Past

February 1, 2005 - January 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/9/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2005
General Securities Representative Examination

Current Firm

SA
SG AMERICAS SECURITIES, LLC
SG AMERICAS SECURITIES, LLC

CRD#: 128351 / SEC#: , 8-66125

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 278-6000
Established
Delaware since 08/08/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SG AMERICAS SECURITIES HOLDINGS, LLCDIRECT OWNER
CARTIER, SYLVAINCHIEF EXECUTIVE OFFICER6390499
CULLEN, EDWARD PATRICKOPERATIONAL RISK MANAGER1551615
GERLESITS, WILLIAM RCHIEF COMPLIANCE OFFICER5457051
O'KEEFE, THOMAS WILLIAMPRINCIPAL FINANCIAL OFFICER3054453
ZIELINSKI, GREGORY WCHIEF OPERATING OFFICER2384242

Disclosures

Regulatory Event114
Criminal1
Arbitration1

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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Company Information

SG AMERICAS SECURITIES, LLC

CRD#: 128351

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