Yumi Oh
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.
Yumi Oh was a registered financial professional .
Yumi is a previously registered financial professional and started their career in finance in 2007. Yumi had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2020 - October 12, 2021
XTX EXECUTION SERVICES LLC
January 17, 2018 - October 12, 2021
XTX MARKETS LLC
May 2, 2012 - June 29, 2017
VIRTU AMERICAS LLC
April 6, 2010 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
April 8, 2009 - March 10, 2010
BGC FINANCIAL, L.P.
October 5, 2007 - November 20, 2008
UBS SECURITIES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/17/2007
Limited Representative-Equity Trader ExamCurrent Firm
XTX EXECUTION SERVICES LLC
CRD#: 309266 / SEC#: , 8-70532
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
