Seong Min Yoo
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.
Seong Min Yoo, who also goes by Daniel (seong Min) Yoo, Seong Min Yoo, Daniel Yoo, Seong Min Yoo, was a registered financial professional .
Seong Min is a previously registered financial professional and started their career in finance in 2015. Seong Min had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2019 - October 22, 2021
TD AMERITRADE, INC.
November 5, 2019 - October 22, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 5, 2019 - October 22, 2021
TD AMERITRADE, INC.
March 8, 2016 - October 25, 2019
EQUITABLE ADVISORS, LLC
January 14, 2016 - October 25, 2019
EQUITABLE ADVISORS, LLC
October 5, 2015 - December 15, 2015
PRUCO SECURITIES, LLC.
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
Series 7TO
Date: 10/1/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
