Nicole K. Yi
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.
Nicole K Yi, who also goes by Nicole Kathryn Cahill-yi, Nicole Yi, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2016. Nicole had worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2022 - September 11, 2023
TZERO SECURITIES, LLC
September 4, 2020 - September 11, 2023
TZERO MARKETS
May 10, 2017 - June 18, 2019
MORGAN STANLEY & CO. LLC
November 14, 2016 - May 17, 2017
MORGAN STANLEY
March 3, 2016 - May 17, 2017
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TZERO SECURITIES, LLC
CRD#: 123421 / SEC#: , 8-65585
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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