Elizabeth Yan
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.
Elizabeth Yan was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2015. Elizabeth had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2024 - April 13, 2026
FEF DISTRIBUTORS, LLC
September 13, 2022 - June 3, 2024
TCW FUNDS DISTRIBUTORS LLC
November 2, 2020 - July 18, 2022
TMF INVESTMENTS
January 10, 2019 - March 10, 2020
AQR INVESTMENTS, LLC
October 4, 2016 - December 31, 2018
ALPS DISTRIBUTORS, INC.
February 4, 2015 - May 11, 2015
HSBC SECURITIES (USA) 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
Exams
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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