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HY

Hoi Lam J. Yung

Some features on this profile are disabled
CRD#: 5664160
HY

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.

Hoi Lam Jennie Yung, who also goes by Hol-lam Jennie Yung, Jennie Yung, was a registered financial professional .

Hoi Lam is a previously registered financial professional and started their career in finance in 2010. Hoi Lam had worked at 3 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hol-Lam Jennie Yung | Jennie Yung

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2013 - December 18, 2013

EZE CASTLE TRANSACTION SERVICES LLC

BD
CRD#: 132246
BOSTON, MA
Past

July 2, 2012 - November 23, 2012

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

November 2, 2010 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 11/1/2010
General Securities Representative Examination

Current Firm

EC
EZE CASTLE TRANSACTION SERVICES LLC
EZE CASTLE TRANSACTION SERVICES LLC | EZE CASTLE TRANSACTION SERVICES, INC.

CRD#: 132246 / SEC#: , 8-66577

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

Main Address
500 Totten Pond Road 2nd Floor, Waltham, MA, 02451
Mailing Address
500 Totten Pond Road 2nd Floor, Waltham, MA, 02451
Phone number
(617) 574-5459
Established
Delaware since 10/02/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EZE CASTLE SOFTWARE LLCMEMBER
DITTA, DAVID VMANAGER AND EXECUTIVE MANAGING DIRECTOR3184921
DOHERTY, JOSEPH MICHAELPRESIDENT4895292
DOHERTY, JOSEPH MICHAELCHIEF COMPLIANCE OFFICER4895292
DOHERTY, JOSEPH MICHAELMANAGER AND MANAGING DIRECTOR4895292
PARSONS, ERIC TFINOP5215115

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

EZE CASTLE TRANSACTION SERVICES LLC

CRD#: 132246

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