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KY

Kah Loong Randy (. Yeo

Some features on this profile are disabled
CRD#: 6087211
KY

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.

Kah Loong Randy (nmn) Yeo, who also goes by Kah Loong Randy (nmn) Yeo, Kah Loong Randy Yeo, was a registered financial professional .

Kah Loong Randy is a previously registered financial professional and started their career in finance in 2012. Kah Loong Randy had worked at 3 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kah Loong Randy (nmn) Yeo | Kah Loong Randy Yeo

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

February 14, 2014 - July 10, 2017

CITIC SECURITIES INTERNATIONAL USA, LLC

BD
CRD#: 158266
New York, NY
Past

April 15, 2013 - January 29, 2014

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

October 8, 2012 - November 14, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY

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

Principal/Supervisory Exam
RR
Series 27
Date: 10/7/2012
Financial and Operations Principal Examination

Current Firm

CS
CITIC SECURITIES INTERNATIONAL USA, LLC
CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266 / SEC#: , 8-68887

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

Main Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Phone number
(212) 549-4791
Established
Delaware since 05/18/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECHIEF COMPLIANCE OFFICER2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CHIEF FINANCIAL OFFICER - FINOP2680290
LI, JIONGBOARD MEMBER6798277
SCHWARTZ, BRADLEY HARRISCEO AND BOARD MEMBER2372237

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

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266

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