EY
Elizabeth Yan
FEF DISTRIBUTORS
New York, NY 10105
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CRD#: 6396214
EY
Professional summary
Elizabeth Yan is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2015. Elizabeth has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 79 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Yan'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®
NoneExperience
Current
June 11, 2024 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800BD
CRD#: 46585
New York, NY
Past
September 13, 2022 - June 3, 2024
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
NEW YORK, NY
Past
November 2, 2020 - July 18, 2022
TMF INVESTMENTS
BD
CRD#: 306422
ALEXANDRIA, VA
Past
January 10, 2019 - March 10, 2020
AQR INVESTMENTS, LLC
BD
CRD#: 289244
Greenwich, CT
Past
October 4, 2016 - December 31, 2018
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
GREENWICH, CT
Past
February 4, 2015 - May 11, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, 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
Alabama(6/11/2024)
RR
Alaska(6/11/2024)
RR
Arizona(6/11/2024)
RR
Arkansas(6/11/2024)
RR
California(6/11/2024)
RR
Colorado(6/11/2024)
RR
Connecticut(6/11/2024)
RR
Delaware(6/11/2024)
RR
District of Columbia(6/11/2024)
RR
Florida(6/11/2024)
RR
Georgia(6/11/2024)
RR
Hawaii(6/11/2024)
RR
Idaho(6/11/2024)
RR
Illinois(6/11/2024)
RR
Indiana(6/11/2024)
RR
Iowa(6/11/2024)
RR
Kansas(6/11/2024)
RR
Kentucky(6/11/2024)
RR
Louisiana(6/11/2024)
RR
Maine(6/11/2024)
RR
Maryland(6/11/2024)
RR
Massachusetts(6/11/2024)
RR
Michigan(6/11/2024)
RR
Minnesota(6/11/2024)
RR
Mississippi(6/11/2024)
RR
Missouri(6/11/2024)
RR
Montana(6/11/2024)
RR
Nebraska(6/11/2024)
RR
Nevada(6/11/2024)
RR
New Hampshire(6/11/2024)
RR
New Jersey(6/11/2024)
RR
New Mexico(6/11/2024)
RR
New York(6/11/2024)
RR
North Carolina(6/11/2024)
RR
North Dakota(6/11/2024)
RR
Ohio(6/11/2024)
RR
Oklahoma(6/11/2024)
RR
Oregon(6/11/2024)
RR
Pennsylvania(6/11/2024)
RR
Puerto Rico(6/11/2024)
RR
Rhode Island(6/11/2024)
RR
South Carolina(6/11/2024)
RR
South Dakota(6/11/2024)
RR
Tennessee(6/11/2024)
RR
Texas(6/11/2024)
RR
Utah(6/11/2024)
RR
Vermont(6/11/2024)
RR
Virginia(6/11/2024)
RR
Washington(6/11/2024)
RR
West Virginia(6/11/2024)
RR
Wisconsin(6/11/2024)
RR
Wyoming(6/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
