Stephen H. Yeung
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.
Stephen Huenam Yeung was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2016. Stephen had worked at 2 firms and has passed the Series 63, Series 65, Series 82TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2022 - March 24, 2025
GILMARTIN FINANCIAL
May 4, 2016 - September 10, 2021
VALUE INVESTMENT PROFESSIONALS, 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 82TO
Date: 4/15/2022
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 3/25/2022
Investment Banking Registered Representative ExaminationCurrent Firm
GILMARTIN FINANCIAL
CRD#: 312622 / SEC#: , 8-70713
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, LYNN CHRISTINE | CEO, CCO, EXECUTIVE REPRESENTATIVE | |
| BRANT, DAVID ROBERT | FINOP, POO AND PFO | 2718478 |
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.
