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YH

Yvette Y. Huang

TICKRS CLEARING
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 5490782
YH

Professional summary

Yvette Yufei Huang, who also goes by Yu-fei Chuang, Yufei Yvette Chuang, Yvette Chuang, Yu-fei Chuang, Yvette Chuang, Yvette Huang, is a registered financial professional currently at TICKRS CLEARING located in Irvine, California.

Yvette is registered as a RR (Registered Representative) and started their career in finance in 2009. Yvette has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yu-Fei Chuang | Yufei Yvette Chuang | Yvette Chuang | Yu-Fei Chuang | Yvette Chuang | Yvette Huang

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yvette Yufei Huang's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 21, 2025 - Present

TICKRS CLEARING

Office #1: 100 Spectrum Center Drive, Suite 750, Irvine, CA 92618
BD
CRD#: 312531
Irvine, CA
Past

May 7, 2020 - March 18, 2025

SOGOTRADE, INC.

BD
CRD#: 17912
CHESTERFIELD, MO
Past

September 18, 2018 - June 3, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
IRVINE, CA
Past

September 12, 2018 - June 3, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
IRVINE, CA
Past

January 21, 2014 - February 28, 2017

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
EL MONTE, CA
Past

June 21, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
EL MONTE, CA
Past

June 20, 2013 - February 28, 2017

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL MONTE, CA
Past

August 10, 2011 - May 22, 2013

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
TORRANCE, CA
Past

March 21, 2011 - May 22, 2013

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
TORRANCE, CA
Past

December 8, 2009 - April 6, 2011

GENESIS SECURITIES, LLC

BD
CRD#: 46992
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/21/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/9/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/8/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/7/2009
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TC
TICKRS CLEARING
TICKRS CLEARING | VALUABLE CAPITAL SECURITIES, LLC | VALUABLE CAPITAL SECURITIES | TICKRS CLEARING LLC

CRD#: 312531 / SEC#: , 8-70658

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
100 Spectrum Center Drive, Suite 750, Irvine, CA 92618
Mailing Address
100 Spectrum Center Drive, Suite 750, Irvine, CA 92618
Phone number
(949) 393-1606
Established
Delaware since 12/22/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TICKRS US HOLDINGS INCMEMBER
ARELLANO, FRANKPOO7508264
LAM, COLIN KISHUNCHIEF FINANCIAL OFFICER/PFO/FINOP4621438
MURPHY, KEVINCHIEF EXECUTIVE OFFICER1645347
NICHOLS, ANN HENRYCHIEF COMPLIANCE OFFICER5572737
VALENZUELA, ALFREDCHIEF OPERATION OFFICER
ZAK, STEPHEN PETERPOO2423424

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.

Company Information

TICKRS CLEARING

CRD#: 312531Irvine, CA 92618

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