Mary Yao
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.
Mary Yao was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 2010. Mary had worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2010 - September 17, 2018
LEVY, HARKINS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 11
Date: 10/30/2009
Assistant Representative-Order Processing Qualification ExamCurrent Firm
LEVY, HARKINS & CO., INC.
CRD#: 8041 / SEC#: 801-14866, 8-24181
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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