Suzie K. Yoon
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.
Suzie Kim Yoon, who also goes by Nina Yoon, Nina Soogi Yoon, was a registered financial professional .
Suzie is a previously registered financial professional and started their career in finance in 2015. Suzie had worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 7, Series 87 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
December 6, 2017 - March 30, 2020
EVERCORE GROUP L.L.C.
August 31, 2017 - December 5, 2017
UBS SECURITIES LLC
July 18, 2016 - September 11, 2017
EVERCORE GROUP L.L.C.
July 27, 2015 - August 10, 2016
SANDLER, O'NEILL & PARTNERS, L.P.
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
EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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