YY
Yi-wai Yip
SG AMERICAS SECURITIES
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 5371798
YY
Professional summary
Yi-wai Yip, who also goes by Christy Yip, Yi Wai Yip, is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York and BERNSTEIN INSTITUTIONAL SERVICES LLC located in New York, New York.
Yi-wai is registered as a RR (Registered Representative) and started their career in finance in 2007. Yi-wai has worked at 3 firms and has passed the SIE, Series 52, Series 7, Series 16, Series 53 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Christy Yip | Yi Wai Yip
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.
CRS (Client Relationship Summary) - BD
Click below to view Yi-wai Yip'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®
NoneExperience
Current
August 28, 2017 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167BD
CRD#: 128351
NEW YORK, NY
Current
March 29, 2024 - Present
BERNSTEIN INSTITUTIONAL SERVICES LLC
Office #1: 245 Park Ave, New York, NY 10167RIA
BD
CRD#: 317807
NEW YORK, NY
Past
October 22, 2007 - May 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BI
BERNSTEIN INSTITUTIONAL SERVICES LLC
BERNSTEIN INSTITUTIONAL SERVICES LLC
CRD#: 317807 / SEC#: 801-129468, 8-71053
RIA
Registered Investment Advisory firm - SEC (2/2/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BI
BERNSTEIN INSTITUTIONAL SERVICES LLC
BERNSTEIN INSTITUTIONAL SERVICES LLC
CRD#: 317807 / SEC#: 801-129468, 8-71053
RIA
Registered Investment Advisory firm - SEC (2/2/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
245 Park Ave, New York, NY 10167
Mailing Address
245 Park Ave, New York, NY 10167
Phone number
(212) 969-1000
Established
Delaware since 10/15/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
282
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERNSTEIN NORTH AMERICA HOLDINGS LLC | SOLE LLC MEMBER | |
| BERTAN, LAURENCE HUGH | CHIEF COMPLIANCE OFFICER | 2332647 |
| HEATH, THOMAS | PRINCIPAL OPERATIONS OFFICER | 2892153 |
| KEYES-GREVELIS, STEPHEN N | HEAD OF SALES | 4273925 |
| MCGRANAHAN, COLIN A | HEAD OF RESEARCH | 4378110 |
| MORGAN, SCOTT THOMAS | HEAD OF TRADING | 2578628 |
| RHEE, KIHO | CHIEF FINANCIAL OFFICER / FINOP | 2827794 |
| VAN BRUGGE, ROBERT PIETER | CHIEF EXECUTIVE OFFICER | 4610799 |
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.
