Queenie M. Yuen
Professional summary
Queenie Miu Ling Yuen, who also goes by Miu Ling Yuen, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.
Queenie is registered as a RR (Registered Representative) and started their career in finance in 2011. Queenie has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Queenie Miu Ling Yuen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2019 - Present
LIQUIDNET, INC.
Office #1: 200 Vesey Street 5th Floor, New York, NY 10281June 30, 2016 - August 12, 2019
KEPLER CAPITAL MARKETS, INC.
June 3, 2011 - June 3, 2016
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
(8/5/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/15/2012
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
