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SY

Sandra Yoon

SAMSUNG SECURITIES (AMERICA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 6298849
SY

Professional summary

Sandra Yoon is a registered financial professional currently at SAMSUNG SECURITIES (AMERICA), INC. located in New York, New York.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 2015. Sandra has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Sandra Yoon's CRS (Customer Relationship Summary).

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

Current

February 11, 2020 - Present

SAMSUNG SECURITIES (AMERICA), INC.

Office #1: 1330 Avenue Of The Americas Suite 1020, New York, NY 10019
BD
CRD#: 43432
New York, NY
Past

May 12, 2015 - December 11, 2019

KOREA INVESTMENT & SECURITIES AMERICA, INC.

BD
CRD#: 104158
NEW YORK, NY
Past

February 11, 2015 - March 10, 2015

SAMSUNG SECURITIES (AMERICA), INC.

BD
CRD#: 43432
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/11/2020)
RR
Connecticut
(1/19/2023)
RR
Florida
(2/20/2023)
RR
Illinois
(2/11/2020)
RR
Massachusetts
(2/11/2020)
RR
New Jersey
(2/11/2020)
RR
New York
(2/11/2020)
RR
Texas
(1/30/2023)
RR
Washington
(2/11/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAMSUNG SECURITIES (AMERICA), INC.
SAMSUNG SECURITIES (AMERICA), INC.

CRD#: 43432 / SEC#: , 8-50272

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

Main Address
1330 Avenue Of The Americas Suite 1020, New York, NY 10019
Mailing Address
1330 Avenue Of The Americas Suite 1020, New York, NY 10019
Phone number
(212) 707-6800
Established
Delaware since 02/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAMSUNG SECURITIES COMPANY LTDPARENT
AN, SUYEONFINOP7613426
IGNALL, EVAN TODDCHIEF COMPLIANCE OFFICER2039007
JUNG, JIYOUNGCEO, HEAD OF OFFICE8040583

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

SAMSUNG SECURITIES (AMERICA), INC.

CRD#: 43432New York, NY 10019

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