Sun D. Yoo
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.
Sun Dong Yoo was a registered financial professional .
Sun is a previously registered financial professional and started their career in finance in 2006. Sun had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2017 - August 22, 2017
PORTSMOUTH FINANCIAL SERVICES
March 30, 2017 - August 22, 2017
PORTSMOUTH FINANCIAL SERVICES
March 28, 2016 - March 28, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2016 - March 28, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2015 - July 28, 2015
SELECT PLANNING GROUP, INC.
April 3, 2014 - January 15, 2015
COINBASE CAPITAL MARKETS CORP
April 3, 2014 - January 15, 2015
COINBASE CAPITAL MARKETS CORP
January 8, 2009 - December 26, 2013
SECURIAN FINANCIAL SERVICES, INC.
October 22, 2008 - December 26, 2013
SECURIAN FINANCIAL SERVICES, INC.
November 29, 2006 - October 13, 2008
WOODBURY FINANCIAL SERVICES, INC.
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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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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