Yat 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.
Yat Hei Jonathan Yeung, who also goes by Yat H Yeung, Yat Yeung, Jonathan Yeung, was a registered financial professional .
Yat is a previously registered financial professional and started their career in finance in 2018. Yat had worked at 3 firms and has passed the Series 63, SIE 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
December 8, 2023 - August 22, 2025
ALLIANCE-ONE INVESTMENTS, LLC
September 21, 2022 - December 8, 2023
TRANSAMERICA CAPITAL, LLC
August 21, 2018 - June 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
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.
