Yimin Ge
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2011 - July 11, 2014
SG AMERICAS SECURITIES, LLC
November 1, 2010 - May 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
March 1, 2006 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2005 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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