Sean Yang
Professional summary
Sean Yang, who also goes by You P Yang, is a registered financial advisor currently at HEROLD ADVISORS, INC. located in New York, New York and HEROLD & LANTERN INVESTMENTS, INC. located in New York, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 7 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean Yang's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2022 - Present
HEROLD ADVISORS, INC.
Office #1: 845 Third Avene Suite 1703, New York, NY 10022-7513November 2, 2020 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 845 Third Avenue Suite 1703, New York, NY 10022July 30, 2013 - November 5, 2020
BERNARD HEROLD & CO., INC.
January 31, 2013 - July 16, 2013
AVATAR SECURITIES, LLC
June 6, 2012 - January 31, 2013
WTS PROPRIETARY TRADING GROUP LLC
June 24, 2011 - May 7, 2012
CHIMERA SECURITIES, LLC
March 17, 2009 - May 13, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
Primary Firm SEC Registration
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2022)
(11/2/2020)
(2/15/2022)
(2/6/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/25/2015
Limited Representative-Equity Trader ExamFINRA
Current Firm
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 489,697,335 |
Red Flags
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