Hernan M. Yellati
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.
Hernan Maximiliano Yellati, who also goes by Hernan M Yellati, was a registered financial professional .
Hernan is a previously registered financial professional and started their career in finance in 2008. Hernan had worked at 3 firms and has passed the Series 63, 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
April 12, 2017 - November 1, 2018
BARCLAY INVESTMENTS LLC
December 11, 2013 - November 16, 2015
DAKOTA SECURITIES INTERNATIONAL, INC.
February 22, 2008 - March 20, 2012
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Current Firm
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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