Yan Assoun
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.
Yan Assoun was a registered financial professional .
Yan is a previously registered financial professional and started their career in finance in 2009. Yan had worked at 2 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 3, SIE, Series 17 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2015 - April 4, 2024
OTCEX, LLC
July 3, 2009 - January 26, 2016
MYD MARKET, INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 3/9/2024
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 17
Date: 7/2/2009
Limited Registered Representative ExaminationCurrent Firm
OTCEX, LLC
CRD#: 165046 / SEC#: , 8-69129
Contact information
Documents
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.
