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YT

Yi Tian

BROADHAVEN SECURITIES LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 5001274
YT

Professional summary

Yi Tian, who also goes by Esther Tian, is a registered financial professional currently at BROADHAVEN SECURITIES LLC located in Chicago, Illinois.

Yi is registered as a RR (Registered Representative) and started their career in finance in 2005. Yi has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Esther Tian

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) - BD

Click below to view Yi Tian's CRS (Customer Relationship Summary).

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

Current

February 20, 2013 - Present

BROADHAVEN SECURITIES LLC

Office #1: 155 North Wacker Suite 4440, Chicago, IL 60606
BD
CRD#: 157804
CHICAGO, IL
Past

August 29, 2005 - September 30, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/20/2013)
RR
Connecticut
(2/20/2013)
RR
Florida
(3/10/2017)
RR
Georgia
(2/20/2013)
RR
Illinois
(2/20/2013)
RR
Kansas
(2/20/2013)
RR
Massachusetts
(2/17/2017)
RR
New York
(2/20/2013)
RR
North Carolina
(2/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/16/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/19/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROADHAVEN SECURITIES LLC
BROADHAVEN SECURITIES LLC

CRD#: 157804 / SEC#: , 8-68862

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
155 North Wacker Suite 4440, Chicago, IL 60606
Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606
Phone number
(312) 621-9801
Established
Delaware since 04/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROADHAVEN CAPITAL PARTNERS, LLCOWNER
LOCKWOOD, MEGHAN EILEENCFO/FINOP4474368
PHILLIPS, GREGORY ALLENCEO/CCO/AMLCO/ER3269223
VON DOHLEN, GERARD NICHOLAS JR.PRINCIPAL2914891

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.

Company Information

BROADHAVEN SECURITIES LLC

CRD#: 157804Chicago, IL 60606

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