Kaiwen Yang
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.
Kaiwen Yang, who also goes by Kevin Yang, was a registered financial professional .
Kaiwen is a previously registered financial professional and started their career in finance in 2011. Kaiwen had worked at 3 firms and has passed the Series 65, Series 66 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
Experience
February 26, 2016 - January 12, 2017
EMPOWERMENT FINANCIAL GROUP
May 15, 2014 - July 7, 2014
USAA FINANCIAL ADVISORS, INC.
December 20, 2011 - January 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2011 - January 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
EMPOWERMENT FINANCIAL GROUP
CRD#: 152203 / SEC#: 801-111676
Contact information
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.
