Kaylock Yam
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.
Kaylock Yam was a registered financial professional .
Kaylock is a previously registered financial professional and started their career in finance in 2006. Kaylock had worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, 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
May 23, 2016 - January 13, 2022
EQUITYZEN SECURITIES LLC
March 25, 2016 - July 1, 2016
WEALTHFORGE SECURITIES, LLC
January 24, 2012 - January 6, 2016
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
May 29, 2007 - November 15, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - November 15, 2007
CITIGROUP GLOBAL MARKETS INC.
February 6, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 5, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
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
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
EQUITYZEN SECURITIES LLC
CRD#: 281820 / SEC#: , 8-69689
Contact information
FINRA licenses (53 States and Territories)
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.
