Sharlyn Ritz Y. Leh
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.
Sharlyn Ritz Yap Leh, who also goes by Sharlyn Leh, was a registered financial professional .
Sharlyn Ritz is a previously registered financial professional and started their career in finance in 2009. Sharlyn Ritz had worked at 4 firms and has passed the Series 66, 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
September 17, 2015 - August 13, 2025
ASSETMARK BROKERAGE, LLC
June 23, 2015 - August 13, 2025
ASSETMARK, INC.
April 19, 2013 - June 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2013 - June 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2009 - April 12, 2013
MORGAN STANLEY
September 9, 2009 - April 12, 2013
MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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