Tessie Yuste
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.
Tessie Yuste, AIF®, CFP®, CIMA® was a registered financial professional .
Tessie is a previously registered financial professional and started their career in finance in 2009. Tessie had worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, 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
Start date: 2009
Experience
June 21, 2018 - January 28, 2021
PURSHE KAPLAN STERLING INVESTMENTS
September 26, 2016 - August 11, 2021
CHERRY BEKAERT WEALTH MANAGEMENT LLC
October 14, 2013 - August 12, 2016
TRUIST INVESTMENT SERVICES, INC.
October 1, 2013 - August 12, 2016
TRUIST INVESTMENT SERVICES, INC.
February 9, 2009 - August 16, 2013
MEIRA WEALTH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
