Mandy Yang
Professional summary
Mandy Yang is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.
Mandy is registered as a RR (Registered Representative) and started their career in finance in 2020. Mandy has worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mandy Yang's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2025 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240September 29, 2023 - March 7, 2024
J.P. MORGAN SECURITIES LLC
September 11, 2020 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 11/5/2025
Operations Professional ExaminationFINRA
Current Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
ETC BROKERAGE SERVICES, LLC
CRD#: 145276Dallas, TX 75240TRUST BUT VERIFY
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