Yi Guo
Professional Summary
Yi Guo is a registered financial advisor currently at UNIVEST SECURITIES, LLC located in New York, New York. Yi is registered as a RR (Registered Representative) and started their career in finance in 2013. Yi has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 3, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, LLC | UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, INC. | UNIVEST SECURITIES
Contact Information
Main Address
75 Rockefeller Plaza Suite18c, New York, NY 10019Mailing Address
75 Rockefeller Plaza, New York, NY 10019Phone Number
(212) 343-8888Established
New York since 01/15/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
18FINRA licenses (26 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/6/2022)
(1/4/2022)
(4/21/2016)
(3/12/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed May 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Yi Guo's CRS (Customer Relationship Summary).
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